The Financial Industry Regulatory Authority, or FINRA, provides a resource called BrokerCheck that consumers can use to research individuals and firms that sell stocks, bonds, mutual funds and other securities, according to the organization's website. BrokerCheck allows users to find brokers and firms by name and Zip code.
BrokerCheck provides information such as employment history, certifications and licenses, FINRA notes. It also lists regulatory actions such as violations and complaints. Although authorized by Congress, FINRA is not a governmental organization. It is a not-for-profit organization tasked with ensuring the securities industry operates justly. In addition to its BrokerCheck feature, FINRA’s website offers consumers resources to help set financial goals, manage debt and choose investment professionals.