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Question

How do I verify a wealth advisor’s credentials and complaint history?

Answer

Use FINRA’s BrokerCheck, a free tool that lets you research the professional backgrounds of wealth advisors and firms. BrokerCheck shows employment history, qualifications, and any regulatory actions or complaints. You can also search the Securities and Exchange Commission’s Investment Adviser Public Disclosure database for information about registered independent adviser firms and their representatives.

Related FAQs

How do fiduciaries differ from brokers?

Should I hire a wealth management firm or manage my investments myself?

Do I need a wealth management firm if I already have a CPA and an estate attorney?
What Clients Ask Financial Planning Portfolio Management Asset Protection Retirement Planning Tax Basics Protecting Your Legacy FAQs
Last Updated Oct. 26, 2026
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We exist so you don’t have to worry about money. For more than 40 years, we’ve taken the sophisticated, time-tested approach that many ultra-high net worth individuals use to help manage their financial lives and made it accessible to more families.

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