FoundationsMAD Academy0:45Protection

The Records Are Public and Free

Registration status and disciplinary history are searchable by name in minutes, and almost nobody looks before sending money.

0:45 · 6 scenes

This lesson is part of a MAD Academy plan.

What the Lesson Covers

  1. 0:00You can look up almost anyone's disciplinary record in about two minutes.
  2. 0:05What is on the record. You get employment history, the licenses held, customer complaints and any regulatory actions.
  3. 0:14The pattern to look for. Not one complaint. A string of short stays at firms that were themselves sanctioned.
  4. 0:23The absence result. Finding no record at all is the most important outcome the search can give you.
  5. 0:32Check both. The individual and the firm. A registered person at an unregistered firm is a problem.
  6. 0:40Search both names before any money moves.
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Educational content only. MadStockAlerts provides market commentary, research, and educational content. It is not personalized investment advice, and nothing here is a recommendation to buy or sell any security. Trading and investing involve substantial risk, including loss of capital. See the Risk Disclosure and Customer Agreement.
Educational content only. MadStockAlerts provides market commentary, research, and educational content. It is not personalized investment advice, and nothing here is a recommendation to buy or sell any security. Trading and investing involve substantial risk, including loss of capital. See the Risk Disclosure and Customer Agreement.
The Records Are Public and Free — MAD Academy Training Video · MadStockAlerts