Yahoo Web Search

Search results

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...

   • BrokerCheck Search Help

     BrokerCheck Search Help. You may search BrokerCheck for an...

2. www.finra.org › searchfinra search | FINRA.org

   www.finra.org › search

   • Cached

   Sep 18, 2009 · Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.

3. 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

   See all results for this question

   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

   See all results for this question

   What databases does FINRA provide as a supplement to BrokerCheck?

   • FINRA provides the following two databases as supplements to BrokerCheck: FINRA Arbitration Awards Online – This database provides the full text of arbitration awards issued by arbitrators at FINRA and at other forums.

   About BrokerCheck | FINRA.org

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

   See all results for this question

   Do brokerage firms have to be registered with FINRA?

   • Both brokerage firms and individuals must be registered with FINRA to conduct securities transactions and business with the investing public. Individuals might also be required to meet state registration requirements.

   About BrokerCheck | FINRA.org

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

   See all results for this question

4. 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.

5. 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.

6. www.finra.org › investors › investingAbout BrokerCheck | FINRA.org

   www.finra.org › investors › investing

   • Cached

   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.

7. www.finra.org › registration-exams-ce › manage-yourCurrently Registered Reps | FINRA.org

   www.finra.org › registration-exams-ce › manage-your

   • Cached

   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.