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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...

   • Find a Broker

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

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

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

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   For individuals who are currently registered reps or employed with a firm, you should work with your firm’s compliance department to make sure that you are properly registered, provide your firm with timely updates to your record and understand your obligations as a Registered Rep.

4. 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 ...

5. 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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   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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   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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6. 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.

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. www.finra.org › registration-exams-ce › brokerForm U4 | FINRA.org

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

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   Representatives of broker-dealers, investment advisers or issuers of securities must use the Form U4 (Uniform Application for Securities Industry Registration or Transfer) to be registered with the appropriate jurisdictions and/or self-regulatory organizations (SROs).

9. 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.