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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
BrokerCheck tells you instantly whether a person or firm is...
- Find a Broker
BrokerCheck tells you instantly whether a person or firm is...
- Currently Registered Reps
You should also check FINRA’s public disclosure site,...
- 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...
- FINRA Search
Registered representatives can fulfill Continuing Education...
- BrokerCheck
BrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors.
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What is BrokerCheck FINRA?
The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here .