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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.

   • BrokerCheck

     BrokerCheck tells you instantly whether a person or firm is...

   • Find a Broker

     BrokerCheck tells you instantly whether a person or firm is...

   • Currently Registered Reps

     You should also check FINRA’s public disclosure site,...

   • Individuals

     In accordance with FINRA rules, firms are required to submit...

   • FINRA Search

     Registered representatives can fulfill Continuing Education...

2. www.finra.org › registration-exams-ce › brokerForm U4 | FINRA.org

   www.finra.org › registration-exams-ce › broker

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   Entitled system users at broker-dealer and investment adviser firms can file Form U4 electronically to fulfill securities registration and licensing requirements for registered representatives and investment adviser representatives. Learn more about registering a new candidate.

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

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

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   You may search BrokerCheck for an individual or firm by name, CRD/SEC number, employing firm (individual searches only) or zip code. If Your Search Returned Too Many Results. You can narrow the search results you get by adding one or more of the search criteria noted above.

4. brokercheck.finra.org › firmBrokerCheck - Find a broker, investment or financial advisor

   brokercheck.finra.org › firm

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

5. People also ask

   What can a registered representative do in FINRA?

   • For Industry Professionals Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks. LOG IN FINRA Gateway For Member Firms Firm compliance professionals can access filings and requests, run reports and submit support tickets. LOG IN DR Portal For Case Participants

   Individual Registration | FINRA.org

   www.finra.org/registration-exams-ce/individuals

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   How do I know if my FINRA record is accurate?

   • You should also check FINRA’s public disclosure site, BrokerCheck, to confirm the information on your record available to the public is accurate. BrokerCheck displays information like registration and employment history, current registrations or licenses and exams passed, and disciplinary history.

   Currently Registered Reps | FINRA.org

   www.finra.org/registration-exams-ce/manage-your-career/currently-registered-reps

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   How do I contact FINRA BrokerCheck?

   • Need Assistance? Please call the FINRA BrokerCheck Hotline at (800) 289-9999 to speak with a representative. Tips for searching BrokerCheck.

   BrokerCheck Search Help | FINRA.org

   www.finra.org/investors/investing/working-with-investment-professional/about-brokercheck/search-help

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   What is a FINRA enhanced public records report?

   • In accordance with FINRA rules, firms are required to submit information related to registered representatives. This report displays a firm's performance in submitting certain U4 and U5 filings in the required time frame. FINRA Launches Enhanced Public Records Review July 05, 2018 Related Links

   Individual Registration | FINRA.org

   www.finra.org/registration-exams-ce/individuals

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