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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...

   • About BrokerCheck

     BrokerCheck is a free tool from FINRA that can help you...

   • Currently Registered Reps

     Launch CE Online. For individuals who are currently...

   • Classic CRD

     The CRD program covers the registration records of...

   • FinPro

     Manage Your Securities Registration Info. FINRA’s Financial...

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. 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.

4. People also ask

   What is BrokerCheck FINRA?

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

   About BrokerCheck | FINRA.org

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

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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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   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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   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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