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How do I know if a brokerage firm is FINRA registered?
What information is available through FINRA BrokerCheck?
Are all brokerage firms on FINRA BrokerCheck registered?
How do I contact FINRA BrokerCheck?
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...
- About BrokerCheck
A BrokerCheck report for an investment professional who is...
- BrokerCheck
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.
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.
BrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors.
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.
Apr 27, 2023 · FINRA BrokerCheck was developed to help investors steer clear of brokers who have checkered histories. It tells you if they have been outright banned from FINRA or what the status of their registration is (brokers must be registered with FINRA in order to conduct securities transactions in the U.S.).
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