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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 is a free tool to research the background and...

   • Find a Broker

     BrokerCheck is a free tool to research the background and...

   • BrokerCheck Search Help

     You may search BrokerCheck for an individual or firm by...

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

   www.finra.org › investors › investing

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

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 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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   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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   Do broker-dealers have to register with FINRA?

   • With few exceptions, broker-dealer firms must register with the Securities and Exchange Commission and be members of FINRA. Individual registered representatives, or registered financial professionals, must register with FINRA, pass a qualifying exam and be licensed by your state securities regulator before they can do business with you.

   Registered Financial Professionals | FINRA.org

   www.finra.org/investors/investing/working-with-investment-professional/registered-financial-professionals

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4. 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.

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

   www.finra.org › search

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   Sep 18, 2009 · FINRA provides registration and licensing relief to FINRA-registered persons and certain formerly registered persons who volunteer or are called into active military duty.

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

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

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   BrokerCheck displays information like registration and employment history, current registrations or licenses and exams passed, and disciplinary history. This section of the website will help you understand:

7. 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. You can also contact your state securities regulator. What They Offer.