How Can I Check My Investment Broker's New Company?
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Q. My investment broker now works for a company I'm not familiar with. How can I check on the firm to make sure it's legitimate?
Check your investment broker online. Getty ImagesA. The Financial Industry Regulatory Authority website has a database that contains information about many brokers and the firms they work for. You can find out if brokers are licensed in
your state, if they've had run-ins with regulators or received serious complaints from investors. Go to finra.org/investors and click on "FINRA BrokerCheck." Or call 1-800-289-9999.
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