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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.

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

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

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. People also ask

   How many registered representatives does FINRA have?

   • Source: Financial Industry Regulatory Authority. Mid-Size Firm = 151 – 499 registered representatives. Source: Financial Industry Regulatory Authority. Large Firm = 500 or more registered representatives. III. Market Activity FINRA collects certain market data as part of its role in overseeing trading and providing transparency services.

   2019 FINRA Industry Snapshot

   www.finra.org/sites/default/files/2019 Industry Snapshot.pdf

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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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   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 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

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

   www.finra.org › investors › investing

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   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.

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

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

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   BrokerCheck displays information like registration and employment history, current registrations or licenses and exams passed, and disciplinary history. This section of the website will help you understand:

6. www.finra.org › registered-financial-professionalsRegistered Financial Professionals | FINRA.org

   www.finra.org › registered-financial-professionals

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   You can obtain background information on broker-dealer firms and their registered financial professionals—including registration, licensing and disciplinary history—by using FINRA BrokerCheck or calling us toll-free at (800) 289-9999. You can also contact your state securities regulator.

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

   www.finra.org › search

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

8. brokercheck.finra.org › Individual › SummaryBrokerCheck - Find a broker, investment or financial advisor

   brokercheck.finra.org › Individual › Summary

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