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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 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.
Updates to existing designations in the database should also be filed using this same form. FINRA reserves the right to determine which designations are appropriate for listing. Registered Representatives: If you’d like to add a new designation to your FINRA profile, please email Gateway Support. If you’d like to apply for a professional ...
When making fingerprint inquiries to FINRA, use the barcode assigned by Sterling as FINRA has access to this information. Firms with questions on this process should contact Sterling Client Support at finraclientsupport@sterlingcheck.com or (833) 794-2009, and EFS vendors should contact Sterling EFS Support.
This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices.The SIE is open to ...
Registered Financial Professional: Visit FINRA BrokerCheck or call FINRA at (800) 289-9999. Also contact your state securities regulator. Check SEC Action Lookup tool for formal actions that the SEC has brought against individuals. If you find the individual on BrokerCheck, click the "More Details" button below their name to view their summary ...
Individual Registration Statuses. A manually set status that indicates that information for an individual has not been submitted to a state within the time period specified by the state. The individual cannot conduct business. This RA status is set when the individual’s IAR CE status becomes CE Inactive, and the registration is with a state ...
