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1. brokercheck.finra.orgBrokerCheck - Find a broker, investment or financial advisor

   brokercheck.finra.org

   BrokerCheck tells you instantly whether a person or firm is registered, as required by law, to sell securities (stocks, bonds, mutual funds and more), offer investment advice or both. BrokerCheck gives you a snapshot of a broker's employment history, regulatory actions, and investment-related licensing information, arbitrations and complaints.

2. brokercheck.finra.org › individual › summaryBrokerCheck - Find a broker, investment or financial advisor

   brokercheck.finra.org › individual › summary

   BrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors.

3. www.finra.org › investing › working-with-investment-professionalAbout BrokerCheck | FINRA.org

   www.finra.org › investing › working-with-investment-professional

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   BrokerCheck is a free tool from FINRA that can help you research the professional backgrounds of investment professionals, brokerage firms and investment adviser firms.

4. www.finra.org › about-brokercheck › search-helpBrokerCheck Search Help | FINRA.org

   www.finra.org › about-brokercheck › search-help

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   BrokerCheck Search Help. You may search BrokerCheck for an individual or firm by name, CRD/SEC number, employing firm (individual searches only) or zip code.

5. www.finra.org › working-with-investment-professional › about-brokercheckBrokerCheck FAQ | FINRA.org

   www.finra.org › working-with-investment-professional › about-brokercheck

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   Frequently asked questions about FINRA BrokerCheck, a free tool for researching brokers, brokerage firms, investment advisers & investment adviser firms.

6. www.investor.gov › working-investment-professional › using-brokercheckUsing BrokerCheck | Investor.gov

   www.investor.gov › working-investment-professional › using-brokercheck

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   Details on a broker’s background and qualifications are available for free on FINRA’s BrokerCheck website. Using BrokerCheck, you can search for a brokerage firm or individual broker by name or registration number, and link to state regulators’ websites.

7. smartasset.com › investing › how-to-use-finra-brokercheckFINRA BrokerCheck Puts Key Info About Brokers Online - SmartAsset

   smartasset.com › investing › how-to-use-finra-brokercheck

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   Apr 27, 2023 · The FINRA BrokerCheck database provides key information about individual brokers and brokerage firms, including registrations, employment history — and any criminal matters, regulatory actions and civil judiciary proceedings complaints.

8. www.sec.gov › fast-answers › answerscrdChecking Out a Brokerage Firm, Individual Broker, Investment...

   www.sec.gov › fast-answers › answerscrd

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   Feb 14, 2012 · BrokerCheck provides the following information on individual brokers: A summary report that provides an overview of the broker and his or her credentials. A listing of the broker’s qualifications, including current registrations or licenses and industry exams that the broker has passed.

9. www.finra.org › sites › defaultFINRA BrokerCheck Brochure

   www.finra.org › sites › default

   BrokerCheck features licensing and disciplinary information on nearly 1.3 million current and former securities brokers and more than 17,000 current and former FINRA-registered firms.

10. www.investopedia.com › terms › fFINRA Brokercheck: What It Means, How It Works - Investopedia

    www.investopedia.com › terms › f

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    Mar 2, 2024 · FINRA BrokerCheck is a free, online tool that helps individuals research brokers, investment firms, and financial advisers.