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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...

2. www.finra.org › currently-registered-repsCurrently Registered Reps | FINRA.org

   www.finra.org › currently-registered-reps

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   If you are a currently registered rep or employed with a firm, you need to work with your firm’s compliance department to ensure your registration status, update your record and comply with your obligations. You can also use the FinPro system to review your registration and licensing information, including exams and CE requirements. Learn more about how to manage your career as a registered ...

3. People also ask

   How do I contact FINRA support?

   • Please contact the FINRA Support Call Center at (240) 386-4040 if you have any questions or require additional assistance. A Snapshot Report is generated from the Central Registration Depository (CRD®) and provides background information on an individual's securities and investment advisory experience and related qualifications.

   Individual Registration and Licensing Information | FINRA.org

   www.finra.org/registration-exams-ce/classic-crd/snapshot-reports

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   How do I view my FINRA record?

   • To view your record please log in to the Financial Professional Gateway or register to create your Financial Professional Gateway account. Please contact the FINRA Support Call Center at (240) 386-4040 if you have any questions or require additional assistance.

   Individual Registration and Licensing Information | FINRA.org

   www.finra.org/registration-exams-ce/classic-crd/snapshot-reports

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   What can a registered representative do in FINRA?

   • For Industry Professionals Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks. LOG IN FINRA Gateway For Member Firms Firm compliance professionals can access filings and requests, run reports and submit support tickets. LOG IN DR Portal For Case Participants

   Individual Registration | FINRA.org

   www.finra.org/registration-exams-ce/individuals

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

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

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   You can narrow the search results you get by adding one or more of the search criteria noted above. To limit the results you get when searching by zip code, try decreasing the search radius of the zip code search or adding an additional search criterion such as the name or CRD number of the firm or individual you are checking.

5. www.finra.org › registration-exams-ce › classic-crdIndividual Registration and Licensing Information | FINRA.org

   www.finra.org › registration-exams-ce › classic-crd

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   Individuals who are or have been registered as a broker or investment adviser representative can now access their registration and licensing information via the Financial Professional Gateway (FinPro). This site contains information reported about an individual, including qualifications, employment history and disclosure events. While much of ...

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

   www.finra.org › search

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   Sep 18, 2009 · FINRA Small Firm Advisory Board Election. Regulatory Notice 09-53. Increased Margin Requirements for Leveraged Exchange-Traded Funds and Associated Uncovered Options. Regulatory Notice 09-52. SEC Approves Amendments to FINRA Trade Reporting Rules on OTC Equity Transactions Executed Outside Normal Market Hours. Regulatory Notice 09-51.

7. www.finra.org › registration-exams-ce › individualsIndividual Registration | FINRA.org

   www.finra.org › registration-exams-ce › individuals

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   Firms must file a Form U5 within 30 days and provide the individual with a copy for their personal records. The form indicates the employment end date and the reason. Some individuals may continue working for the firm in a non-registered capacity after the submission of a Form U5. Renew an Individual's Registration.

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

   brokercheck.finra.org › firm

   BrokerCheck is a free tool from FINRA that helps you find and compare brokers, investment advisors and firms. You can check their backgrounds, qualifications, history of complaints and disciplinary actions. BrokerCheck helps you make informed decisions about your financial future.