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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...

   • BrokerCheck Search Help

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

   • Currently Registered Reps

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

   • About BrokerCheck

     The information about investment adviser firms and...

   • Classic CRD

     The CRD program covers the registration records of...

   • Registered Financial Professionals

     You can obtain background information on broker-dealer firms...

   • FINRA Search

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

2. People also ask

   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 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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   Can a registered representative of a FINRA member firm open an account?

   • If a registered representative of a FINRA member firm wants to open an account with another member firm, which of the following statements are TRUE? I. The account may not be opened under any circumstances because the registered representative has access to privileged information. II.

   SERIES 6: Section 5 ... Opening & Servicing Customer

   quizlet.com/195197738/series-6-section-5-opening-servicing-customer-accounts-flash-cards/

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