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  1. 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. While your firm manages most of your information, you can use ...

  2. www.finra.org › professional-designations › repREP | FINRA.org

    Registered Estate Planner (REP) Currently offered and recognized by the issuing organization. This professional designation is to recognize the registering professional for their education, training, experience and licensure within this specified area of industry/practice. Designations are issued for 24-month durations by paying the required ...

    • Designation Depot
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  4. 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.

  5. 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 (800) 289-9999. You can also contact your state securities regulator. To find your regulator, check the government listing of ...

  6. Questions. If you are currently registered with a FINRA member firm, it is important that you first work with your firm (your direct supervisor or compliance department) when issues or questions arise. However, if you are unable to resolve issues or get answers to your questions please contact the FINRA Gateway Call Center at (301) 590-6500.

  7. March 16, 2017. FinTech FINRA has been actively monitoring financial technologyrelated FinTech developments in the securities industry A growing number of FinTech firms have been embracing new technologies pioneering innovative products and developing clientoriented financial services business models Many traditional financial service providers ...

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