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

   brokercheck.finra.org

   BrokerCheck is a free service that helps you find and compare brokers and investment advisors. You can access their background, qualifications, and disciplinary records online or by phone. BrokerCheck is provided by FINRA, the largest independent regulator of securities firms in the US.

   • BrokerCheck

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

   • Find a Broker

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

   • BrokerCheck Search Help

     You may search BrokerCheck for an individual or firm by...

   • Currently Registered Reps

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

   • About BrokerCheck

     The information about brokerage firms and associated...

   • FINRA Search

     BrokerCheck is a trusted tool that shows you employment...

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

   brokercheck.finra.org › firm

   BrokerCheck is a free tool from FINRA that helps you find and compare brokers, investment advisors and firms. You can check their backgrounds, qualifications, history of complaints and disciplinary actions. BrokerCheck helps you make informed decisions about your financial future.

3. brokercheck.finra.org › reverse-phone-lookupBrokerCheck - Find a broker, investment or financial advisor

   brokercheck.finra.org › reverse-phone-lookup

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

4. People also ask

   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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   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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   What is the application number for FINRA regulations?

   • 0140. Applicability | FINRA.org 0140. Applicability ‹ 0130. Interpretation 0150. Application of Rules to Exempted Securities Except Municipal Securities ›

   0140. Applicability | FINRA.org

   www.finra.org/rules-guidance/rulebooks/finra-rules/0140

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   What can a FINRA registered representative do?

   • Short-Interest Reporting | FINRA.org Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks. Firm compliance professionals can access filings and requests, run reports and submit support tickets.

   4560. Short-Interest Reporting | FINRA.org

   www.finra.org/rules-guidance/rulebooks/finra-rules/4560

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