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Currently Registered Reps. For individuals who are currently registered reps or employed with a firm, you should work with your firm’s compliance department to make sure that you are properly registered, provide your firm with timely updates to your record and understand your obligations as a Registered Rep. While your firm manages most of ...
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.
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Permitted Activities of Registered Representatives. Please note: The following information is intended to provide a general overview of the permitted activities of various registration categories, but it is not an exhaustive list.
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.
What You’ll Find in a BrokerCheck Report. Individuals Registered Within the Past 10 Years. A BrokerCheck report for an investment professional who is currently registered with FINRA or a national securities exchange, or who has been registered within the last 10 years, contains:
Sep 18, 2009 · Displaying 1 - 10 of 34831 Results. Election Notice - 9/18/09. FINRA Notice of Contested Election and Ballots for Small Firm NAC Member Seat. Regulatory Notice 09-54. SEC Approves Amendments Requiring Related Market Center Indicator in Non-Tape Reports Submitted to FINRA.
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.
