Further insights into the CRD
Though it'd be nice to believe that everyone offering their services to help you mange your personal wealth has your best intentions at heart, bad actors are out there. To help protect people seeking assistance with their financial planning from these untrustworthy individuals, the CRD provides a valuable tool: BrokerCheck.
BrokerCheck provides a variety of information, such as summaries of the investment professionals and their credentials. In addition, the reports provide overviews of their employment histories for individuals over the past 10 years, including work experiences in and out of the securities industry. The reports also include individuals' current registrations and licenses. Perhaps most importantly, they also contain a disclosure section that details information regarding customer disputes, disciplinary actions, criminal matters, and pending actions or allegations.