Search results
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
BrokerCheck displays information like registration and employment history, current registrations or licenses and exams passed, and disciplinary history. guidance on the proper conduct of a registered representative.
People also ask
What can a FINRA registered representative do?
How do I find out if a broker is registered with FINRA?
How do I contact FINRA BrokerCheck?
Can a registered representative of a FINRA member firm open an account?
BrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors.
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. If Your Search Returned Too Many Results. You can narrow the search results you get by adding one or more of the search criteria noted above.
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
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.
Registered Banking Professional: RBP : View Details: Registered Business Broker: RBB : View Details: Registered Employee Benefits Professional: REBP : View Details: Registered Estate Planner: REP : View Details: Registered Fiduciary: RF : View Details: Registered Financial Associate: RFA : View Details