Find background checks on brokers, investment advisers online
01/12/2014 10:53 AM
01/12/2014 10:54 AM
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.
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