How to Find Complaints Filed Against an Investment Broker

Before you invest a dime of your money, investigate an investment broker by finding out if any complaints have been filed against him. You also can find complaints filed against the investment brokerage firm and any investment advisers with which you are considering doing business.

Seek information from the Central Registration Depository computerized database, which contains information on investment brokers, investment brokerages and other investment representatives such as financial and investment advisers.

Check with your state's securities regulator to get information regarding whether your investment broker is properly licensed, any current or past problems your broker has had with clients and a list of the services provided and fees charged.

Visit the National Association of Securities Dealers website. Search for complaints against investment brokers with the NASD's "Broker Check" service.

Request information about a specific broker by emailing the Securities and Exchange Commission's Office of Investor Education and Advocacy at publicinfo@sec.gov.

Get a copy of the investment broker's Investment Advisers Public Disclosure form. This will list complaints or problems the broker has had with clients.