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1. People also ask

   How do I find out if a broker is a real estate broker?

   • Details on a broker’s background and qualifications are available for free on FINRA’s BrokerCheck website. Using BrokerCheck, you can search for a brokerage firm or individual broker by name or registration number, and link to state regulators’ websites.

   Using BrokerCheck | Investor.gov

   www.investor.gov/introduction-investing/getting-started/working-investment-professional/using-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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   Do broker-dealers have to register with FINRA?

   • With few exceptions, broker-dealer firms must register with the Securities and Exchange Commission and be members of FINRA. Individual registered representatives, or registered financial professionals, must register with FINRA, pass a qualifying exam and be licensed by your state securities regulator before they can do business with you.

   Registered Financial Professionals | FINRA.org

   www.finra.org/investors/investing/working-with-investment-professional/registered-financial-professionals

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   How do I get background information on a broker-dealer firm?

   • 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.

   Registered Financial Professionals | FINRA.org

   www.finra.org/investors/investing/working-with-investment-professional/registered-financial-professionals

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2. 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...

   • Individuals

     SEE THE REGISTRATION FILING IN FINRA GATEWAY PAGE FOR MORE...

   • Registered Financial Professionals

     You can obtain background information on broker-dealer firms...

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

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

   • Cached

   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.

4. 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.

5. www.finra.org › about › firms-we-regulateFirms We Regulate | FINRA.org

   www.finra.org › about › firms-we-regulate

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   FINRA Regulates Broker-Dealers, Capital Acquisition Brokers and Funding Portals. A Broker-Dealer is in the business of buying or selling securities on behalf of its customers or its own account or both. A Capital Acquisition Broker is a Broker-Dealer subject to a narrower rule book. A Funding Portal is a crowdfunding intermediary.

6. www.investor.gov › using-brokercheckUsing BrokerCheck | Investor.gov

   www.investor.gov › using-brokercheck

   • Cached

   Details on a broker’s background and qualifications are available for free on FINRA’s BrokerCheck website. Using BrokerCheck, you can search for a brokerage firm or individual broker by name or registration number, and link to state regulators’ websites.