Financial Advisors Background Checks

If you'd like to do a background check on a Financial Advisor, please feel free to visit these below links to perform a search.

California Department of Insurance - Search to see if an insurance agent is licensed in California.  Please note that this link will open in a new browser window or tab that is not part of our website (we do not control the following website and cannot be responsible for its content):

http://www.insurance.ca.gov/license-status/index.cfm

Certified Financial Planner (CFP) Board of Standards, Inc. - Search to verify if a financial planner holds CFP® certification, which is a regocnized standard of excellence for competent and ethical financial planning.  Please note that this link will open in a new browser window or tab that is not part of our website (we do not control the following website and cannot be responsible for its content):

http://www.cfp.net/

FINRA Broker Check - Search to see if a financial planner is registered with the Financial Industry Regulatory Authority (FINRA).  Please note that this link will open in a new browser window or tab that is not part of our website (we do not control the following website and cannot be responsible for its content):

http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/index.htm

U.S. Securities and Exchange Commission - From the page linked below, you can click "Investment Adviser Search" on the left to search for public disclosure information about Investment Advisers, by representative name or by firm.  Please note that this link will open in a new browser window or tab that is not part of our website (we do not control the following website and cannot be responsible for its content):

http://www.adviserinfo.sec.gov/