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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 is a free tool from FINRA that can help you research the professional backgrounds of investment professionals, brokerage firms and investment adviser firms.
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.
BrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors.
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.
Frequently asked questions about FINRA BrokerCheck, a free tool for researching brokers, brokerage firms, investment advisers & investment adviser firms.
May 31, 2024 · Search your investment professional's background. Enter their name in our Investment Adviser Public Disclosure (IAPD) website to see if they're registered. It's a red flag if they're not! You can also check out whether they’ve ever been in trouble with securities regulators.
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, brokerage...
Feb 14, 2012 · Checking Out a Brokerage Firm, Individual Broker, Investment Adviser Firm, or Individual Investment Adviser. Information about brokerage firms and individual brokers is publicly available online through FINRA’s Broker Check program and by calling toll-free at (800) 289-9999.
You can access extensive employment, disciplinary, and registration information about your stockbroker or investment adviser through your state securities regulator. To verify a license with either Broker Check or the Investment Adviser Public Disclosure, click here.
