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Find background checks on brokers, investment advisers online

  • Published Sunday, Jan. 12, 2014, at 10:54 a.m.

Each Monday, The Eagle highlights a government record that is available to the public. Open records help people keep government in check and help them better understand how government affects their lives.

For a complete list of You Oughta Know columns, go to www.kansas.com/oughta.

The records: Background checks on brokers and investment advisers and their firms.

Why you’d want them: To protect your money.

Where you get them: The Office of the Kansas Securities Commissioner recommends BrokerCheck, a service of the Financial Industry Regulatory Authority. Go to www.finra.org/Investors/ToolsCalculators/BrokerCheck/

How much it will cost: The information is free.

Deb Gruver

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