How to check an investment broker or adviser
Use the regulator's official records to identify a broker or adviser and check their registration, firm, and service scope.
This is general consumer education, not legal or financial advice. Rules and register entries can change; check the current official record for the relevant service and jurisdiction.
Search the right register
The appropriate lookup depends on whether the person is a broker, investment adviser, or another professional and on the jurisdiction. Use official regulator tools, not a directory that merely repeats marketing claims.
Match the person and firm
Check the person's full name, current firm, registration status, and any public disclosures. Names can be similar; verify the identity and contact channel before acting.
Read what the record does not say
Registration is not a guarantee of investment performance, recommendation quality, or suitability. Review the scope of services and the agreement before transferring money or following advice.
Official sources
- FINRA BrokerCheckUS securities industry regulator
- FCA RegisterUK financial regulator
- ASIC register searchAustralian regulator
These links are starting points for checking current records. Their inclusion is not an endorsement and does not verify a particular company or offer.
Frequently asked questions
Does a clean lookup guarantee an adviser is trustworthy?
No. A record is one source of information and cannot guarantee future conduct or investment outcomes.
Can I use one register for every financial professional?
No. Use the official lookup appropriate to the professional, product, and jurisdiction.