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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...

   • FINRA Search

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

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

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

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   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.

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

   www.finra.org › search

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   Sep 4, 2009 · BrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors. FINRA provides registration and licensing relief to FINRA-registered persons and certain formerly registered persons who volunteer or are called into active military duty.

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

   brokercheck.finra.org › menu › browse

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

5. www.finra.org › investors › investingAbout BrokerCheck - FINRA.org

   www.finra.org › investors › investing

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   BrokerCheck is a free tool from FINRA that can help you research the professional backgrounds of investment professionals, brokerage firms and investment adviser firms. Where BrokerCheck Information Comes From. Both brokerage firms and individuals must be registered with FINRA to conduct securities transactions and business with the investing ...

6. www.investor.gov › introduction-investing › gettingUsing BrokerCheck - Investor.gov

   www.investor.gov › introduction-investing › getting

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   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.

7. People also ask

   How do I get a FINRA BrokerCheck report?

   • For brokers or brokerage firms that are not also registered as investment adviser representatives or investment adviser firms, when you click on “Get Full Report” or “Get Details,” you will be redirected to the FINRA BrokerCheck system. FINRA offers BrokerCheck FAQs to help you get started.

   How to Use the Investment Professional Search Tool on Investor.gov

   www.sec.gov/resources-for-investors/investor-alerts-bulletins/how-use-investment-professional-search-tool-investorgov

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   What is BrokerCheck FINRA?

   • BrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors. FINRA provides registration and licensing relief to FINRA-registered persons and certain formerly registered persons who volunteer or are called into active military duty.

   finra search | FINRA.org

   www.finra.org/search

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   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

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   Where can I find information about brokerage firms and registered investment professionals?

   • The information about brokerage firms and associated registered investment professionals that you find in BrokerCheck comes from the Central Registration Depository (CRD®), which is the securities industry online registration and licensing database.

   About BrokerCheck | FINRA.org

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

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8. www.sec.gov › resources-for-investors › investorHow to Use the Investment Professional Search Tool on ...

   www.sec.gov › resources-for-investors › investor

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   Aug 6, 2020 · If a firm is also registered as a brokerage firm, clicking on “Get Details” will redirect you to the Financial Industry Regulatory Authority (FINRA) BrokerCheck system for more information about its record as a brokerage firm.