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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...

   • BrokerCheck Search Help

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

   • About BrokerCheck

     The information about investment adviser firms and...

   • Currently Registered Reps

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

   • FINRA Search

     Registered representatives can fulfill Continuing Education...

2. www.finra.org › about-brokercheck › search-helpBrokerCheck Search Help | FINRA.org

   www.finra.org › about-brokercheck › search-help

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   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.

3. People also ask

   Where can I find FINRA BrokerCheck reports?

   • FINRA BrokerCheck reports for Interactive Brokers and its investment professionals are available at www.finra.org/brokercheck Restrictions apply. For additional information on interest rates, click here. Credit interest rate as of 04/05/23.

   Home | Interactive Brokers LLC

   gdcdyn.interactivebrokers.com/

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   What is BrokerCheck FINRA?

   • BrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors. FINRA provides registration and licensing relief to FINRA-registered persons and certain formerly registered persons who volunteer or are called into active military duty.

   finra search | FINRA.org

   www.finra.org/search

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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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4. www.finra.org › searchfinra search | FINRA.org

   www.finra.org › search

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   Sep 18, 2009 · Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.

5. www.finra.org › investors › investingAbout BrokerCheck | FINRA.org

   www.finra.org › investors › investing

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   The information about investment adviser firms and representatives comes from the Securities and Exchange Commission's Investment Adviser Registration Depository (IARD) database. What You’ll Find in a BrokerCheck Report. Individuals Registered Within the Past 10 Years.

6. 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.

7. www.finra.org › registration-exams-ce › manage-yourCurrently Registered Reps | FINRA.org

   www.finra.org › registration-exams-ce › manage-your

   • Cached

   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.

8. brokercheck.finra.org › Individual › SummaryBrokerCheck - Find a broker, investment or financial advisor

   brokercheck.finra.org › Individual › Summary

   A Previously Registered broker or brokerage firm is not currently licensed to act as a broker (buying and selling securities on behalf of customers) or as an investment adviser (providing advice about securities to clients). They may still be able to offer other investment-related services if properly licensed to do so. Click here to learn more.