Search results
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.
A BrokerCheck report for an investment professional who is currently registered with FINRA or a national securities exchange, or who has been registered within the last 10 years, contains: A summary section that provides a brief overview of the investment professional and credentials.
You can request a BrokerCheck report from FINRA by: visiting BrokerCheck at www.finra.org/brokercheck; calling the BrokerCheck toll-free Hotline at (800) 289-9999; or submitting a request via U.S. mail or fax. The BrokerCheck mailing address and fax number are: FINRA BrokerCheck P.O. Box 9495 Gaithersburg, MD 20898-9495 Fax: (240) 386-4750; 4 ...
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.
BrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors.
Jan 19, 2023 · BrokerCheck is a free online tool provided by the Financial Industry Regulatory Authority (FINRA). Investors can use it to research and verify the professional backgrounds of brokers,...
Sep 28, 2022 · On BrokerCheck, you can find information about brokers who are currently registered with FINRA or a national securities exchange, as well as brokers whose registrations have been terminated.
Mar 2, 2024 · What Is FINRA BrokerCheck? FINRA BrokerCheck is a free, online tool that helps individuals research brokers, investment firms, and financial advisers.
Jun 2, 2023 · Learn how to use BrokerCheck to evaluate a financial advisor's credentials and what information FINRA BrokerCheck provides by reading this step-by-step guide.
Jun 11, 2014 · A FINRA BrokerCheck report for an individual includes a listing of the broker’s registrations or licenses, industry exams that the broker has passed, and information on a broker’s previous employment, customer disputes, and regulatory or disciplinary events.
