Mini Course – Guide to Researching Financial Professionals with BrokerCheck®
Failing to select and monitor can be a costly headache. Brokercheck® is the prudent place to get started when researching financial professionals or firms.
This course will:
1. Explain to you what is Brokercheck® and its powerful connection to FINRA, SEC IAPD, and NASAA data
2. Guide you through conducting searches; including reviewing the background of one of the most famous brokers of all time
3. Give you confidence in researching current, prospective, or former professionals or firms
4. Provide you with important considerations
- Self-paced online course
- Four Guided Modules
- Appropriate for any investor, participant, plan sponsor, or fiduciary
- Mini Quiz
Brent Willey is currently the Co-Founder and Director at Fiduciary Education. In this capacity, Brent provides educational services to assist retirement plan sponsors and fiduciaries with their plan management. He is also one of the founders of the Retirement Plan Road Show, which is a series of summits and workshops that gather plan sponsors and industry leaders to discuss fiduciary best practices and improving participant outcomes
Brent is a specialist in plan benchmarking, investment advisor searches, retirement plan databases, and developing learning content for plan sponsors.
A graduate of San Diego State University, Brent earned a Bachelors of Science in Finance with an emphasis in Portfolio Management. He also holds Chartered Retirement Plan Specialist designation, from the College of Financial Planning.
In his free time, Brent enjoys tennis, surfing, and spending time with family and friends. He is passionate about investing, financial literacy, and youth sports.