uthority) is the largest independent regulator for all securities firms doing business in the United States.
Their website www.finra.org
describes their chief role as that of protecting investors by maintaining the fairness of the U.S. capital markets. The site has many interesting features, including educational information and more to the point of this thread, a free tool called BrokerCheck
can help investors research the professional backgrounds of current and former FINRA-registered brokerage firms and brokers, as well as investment adviser firms and representatives. It should be the first resource investors turn to when choosing whether to do business or continue to do business with a particular firm or individual.
The Broker Check tool can be run by individual/firm name, CRD or SEC number, or by zip code.