FINRA's Database of Investment Professionals
Searchable nationwide database to check credentials and complaints against companies and individuals.

Washington State’s Department of Financial Institutions ( DFI ):

Aimed primarily at investment professionals themselves, with some info for consumers. Gives requirements in WA and how to check on a specific person or business’ credentials.

FINRA booklets (downloadable or ordered for free)
Title "Getting Help With Your Investments"

WA state Database of Investment Professional Licenses
Searchable statewide database to check credentials and complaints against companies and individuals who are registered and have been working in Washington state. Created and updated by WA Dept. of Financial Institutions.

Rutgers University's "Investing For Your Future" home study course
Particularly Unit 10, which is "Selecting Your Team of Financial Professionals".

Choosing an Online Brokerage Firm
Discusses differences in and among Online Brokerage Firms.

National Assocation of Personal Financial Advisors
Professionals who become a NAPFA-Registered Financial Advisor are committed to the Core Values of the organization and agree to follow the NAPFA Fiduciary Oath and Code of Ethics.

MSN Money articles:


What every Investor needs to Know by WA Dept. of Financial Institutions 1995
V 332.6 WHAT-EVE Video
VHS video and short booklet about preventing and resolving problems with Investment Professionals.