Advisor Complaint Lookup
Before trusting someone with your money, check their regulatory record. Enter a CRD number or advisor name below.
Don't know their CRD? Search our directory first, every profile shows the advisor's CRD number.
What Shows Up in a Regulatory Record?
Customer Complaints
Any written complaint from a customer alleging sales practice violations, misrepresentation, or unauthorized trading. Even settled complaints remain on an advisor's record. Multiple complaints are a serious red flag.
Regulatory Actions
Actions taken by regulators (SEC, FINRA, state agencies) including fines, suspensions, bars from the industry, and cease-and-desist orders. Even minor regulatory actions deserve scrutiny.
Employment Terminations
If an advisor was terminated for cause, violating policies, compliance failures, or fraud, it appears in their record. Frequent firm changes combined with terminations are a warning sign.
Criminal Disclosures
Any criminal charges or convictions, including financial crimes like fraud, embezzlement, or forgery. Even pending charges are disclosed. This is the most serious category.
Where Does This Data Come From?
All complaint and disciplinary data is publicly available through two official sources: FINRA BrokerCheck for brokers and SEC IAPD for investment adviser representatives. These are the same databases that regulators, compliance teams, and financial journalists use. We link you directly to the official source.
No Complaints Doesn't Mean No Risk
A clean record is a good sign, but not a guarantee. Some problems go unreported, and newer advisors haven't had time to accumulate a record. Combine a background check with other due diligence: verify fiduciary status, understand fee structures, ask for references, and use our Red Flag Checker for a more comprehensive evaluation.