Free Course

Failing to select and monitor can be a costly headache. Brokercheck® is the prudent place to get started when researching financial professionals or firms.

This course will:

1. Explain to you what is Brokercheck® and its powerful connection to FINRA, SEC IAPD, and NASAA data

2. Guide you through conducting searches; including reviewing the background of one of the most famous brokers of all time

3. Give you confidence in researching current, prospective, or former professionals or firms

4. Provide you with important considerations

Features

• Self-paced online course
• Four Guided Modules
• Appropriate for any investor, participant, plan sponsor, or fiduciary
• Mini Quiz

Duration

Approximately 30 minutes