Contributed by: Melissa Joy, CFP®
BrokerCheck is a free tool managed by financial industry regulator FINRA. This site researches professional backgrounds of investment adviser firms, their advisers, and brokers as well. You can search the background of your adviser for licensing, credentials, employment information, and misconduct.
In an effort to increase awareness of the services offered by BrokerCheck, advisers are now required to provide a link to this service on their websites. This information must be displayed on an advisory firm home page as well as biography pages.
In conjunction with these new rules, we have updated our website to provide these links. We are always proud to share our background with you and anyone interested in The Center and our services. We also think that regulatory efforts to increase disclosures to investors are in the best interest of everyone.
Melissa Joy, CFP® is Partner and Director of Investments at Center for Financial Planning, Inc. In 2013, Melissa was honored by Financial Advisor magazine in the Research All Star List for the third consecutive year. In addition to her contributions to Money Centered blogs, she writes investment updates at The Center and is regularly quoted in national media publications including The Chicago Tribune, Investment News, and Morningstar Advisor.
Financial Advisor magazine's inaugural Research All Star List is based on job function of the person evaluated, fund selections and evaluation process used, study of rejected fund examples, and evaluation of challenges faced in the job and actions taken to overcome those challenges. Evaluations are independently conducted by Financial Advisor Magazine.