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1. brokercheck.finra.orgBrokerCheck - Find a broker, investment or financial advisor

   brokercheck.finra.org

   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

     BrokerCheck is a free tool from FINRA that can help you...

   • BrokerCheck Search Help

     BrokerCheck Search Help. You may search BrokerCheck for an...

   • Currently Registered Reps

     You should also check FINRA’s public disclosure site,...

   • FINRA Search

     Registered representatives can fulfill Continuing Education...

2. brokercheck.finra.org › firmBrokerCheck - Find a broker, investment or financial advisor

   brokercheck.finra.org › firm

   BrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors.

3. People also ask

   How do I contact FINRA BrokerCheck?

   • Need Assistance? Please call the FINRA BrokerCheck Hotline at (800) 289-9999 to speak with a representative. Tips for searching BrokerCheck.

   BrokerCheck Search Help | FINRA.org

   www.finra.org/investors/investing/working-with-investment-professional/about-brokercheck/search-help

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   What can a FINRA registered representative do?

   • Short-Interest Reporting | FINRA.org Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks. Firm compliance professionals can access filings and requests, run reports and submit support tickets.

   4560. Short-Interest Reporting | FINRA.org

   www.finra.org/rules-guidance/rulebooks/finra-rules/4560

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   How do I know if my FINRA record is accurate?

   • You should also check FINRA’s public disclosure site, BrokerCheck, to confirm the information on your record available to the public is accurate. BrokerCheck displays information like registration and employment history, current registrations or licenses and exams passed, and disciplinary history.

   Currently Registered Reps | FINRA.org

   www.finra.org/registration-exams-ce/manage-your-career/currently-registered-reps

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   What is BrokerCheck FINRA?

   • BrokerCheck is a free tool from FINRA that can help you research the professional backgrounds of investment professionals, brokerage firms and investment adviser firms. Both brokerage firms and individuals must be registered with FINRA to conduct securities transactions and business with the investing public.

   About BrokerCheck | FINRA.org

   www.finra.org/investors/investing/working-with-investment-professional/about-brokercheck

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4. www.finra.org › registered-financial-professionalsRegistered Financial Professionals | FINRA.org

   www.finra.org › registered-financial-professionals

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   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.