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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 is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors.
BrokerCheck is a free tool from FINRA that can help you research the professional backgrounds of investment professionals, brokerage firms and investment adviser firms.
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.
Frequently asked questions about FINRA BrokerCheck, a free tool for researching brokers, brokerage firms, investment advisers & investment adviser firms.
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.
Mar 2, 2024 · FINRA BrokerCheck is a free, online tool that helps individuals research brokers, investment firms, and financial advisers.
Apr 27, 2023 · The FINRA BrokerCheck database provides key information about individual brokers and brokerage firms, including registrations, employment history — and any criminal matters, regulatory actions and civil judiciary proceedings complaints.
Jan 19, 2023 · BrokerCheck is a free online tool provided by the Financial Industry Regulatory Authority (FINRA). Investors can use it to research and verify the professional backgrounds of brokers, brokerage...
Sep 28, 2022 · With BrokerCheck, you can find information about a broker, including their credentials, qualifications, employment history and disciplinary events.
