California Department of Business Oversight Licensee and Financial Service Provider Search
Check on state chartered banks and credit unions, mortgage bankers and servicers, finance lenders and brokers, payday lenders, escrow agents.
Check my advisor, broker, agent, etc.
Investor.gov from U.S. Securities & Exchange Commission (SEC)
Government site offers introduction to investments, links to calculators and tools for researching investments and investment advisers, and fraud protection advice.
U.S. Securities & Exchange Commission (SEC) Investment Adviser Public Disclosure
Provides the registration or reporting form filed by the investment adviser individual or firm with the SEC, along with their professional background and conduct, including current registrations, employment history, and disclosures about certain disciplinary events. Also checks the FINRA BrokerCheck system to indicate whether the entity is a brokerage firm.
U.S. News Advisor Finder
A free, searchable online directory of financial advisors, covering of more than 320,000 active investment advisors and 11,000 advisory firms.
SmartCheck.gov (U.S. Commodity Futures Trading Commission)
Combines three links for checking on : NFA BASIC (National Futures Association Background Affiliation Status Information Center); FINRA's BrokerCheck; and linking to the Microsoft Bing search engine. Has additional links to the SEC Investment Adviser Public Disclosure, SEC EDGAR for corporate filings, and Commodity Futures Trading Commission disciplinary listings.
National Association of Personal Financial Advisors
Association representing fee-only financial advisors (as opposed to those working on commission) provides educational content as well as tools for finding a fee-only financial advisor.
FINRA BrokerCheck
Service to check whether a person or firm is registered, as required by law, to sell securities (stocks, bonds, mutual funds and more), offer investment advice or both. Provides summaries of broker's employment history, regulatory actions, and investment-related licensing information, arbitrations and complaints.
Financial Planning Association
Association represents Certified Financial Planners and provides a tool to help find a planner by name, location, specialties, how they are paid, and types of certifications.
Certified Financial Planner Board of Standards, Inc.
A major certifying organization: features educational information about financial planning and allows you to search for CFPs by name, city, state, or zip code, then refine your search by other requirements.
California Multiple Department License Lookup (for real estate and financial services)
Combines listings from multiple California departments to provide a one-stop resource for California real estate and financial services license information, laws and regulations.