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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

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

   • Find a Broker

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

   • Currently Registered Reps

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

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

   www.finra.org › search

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   Sep 18, 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.

3. 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 ...

4. 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.

5. brokercheck.finra.org › firmBrokerCheck - Find a broker, investment or financial advisor

   brokercheck.finra.org › firm

   BrokerCheck - Find a broker, investment or financial advisor. BrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors.

6. www.finra.org › newhomeFINRA Home

   www.finra.org › newhome

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   A vibrant market is at its best when it works for everyone. Join the Industry or Take an Exam Register Have Questions or Concerns? Contact Us Look up FINRA Disciplinary Actions Search Cases Research a Broker or Firm Search Brokercheck Featured Report / Study 2024 Regulatory Oversight Report The 2024 FINRA Annual Regulatory Oversight Report provides member firms with insight into findings from ...

7. 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

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   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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   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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   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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