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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
BrokerCheck tells you instantly whether a person or firm is...
- Find a Broker
BrokerCheck tells you instantly whether a person or firm is...
- BrokerCheck Search Help
BrokerCheck Search Help. You may search BrokerCheck for an...
- Currently Registered Reps
You should also check FINRA’s public disclosure site,...
- About BrokerCheck
The information about investment adviser firms and...
- FINRA Search
Registered representatives can fulfill Continuing Education...
- BrokerCheck
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.
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BrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors.