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

    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.

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

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

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

    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.

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

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

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

    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.

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

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

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  8. www.finra.org › investors › investingAbout BrokerCheck - FINRA.org

    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: A summary section that provides a brief overview of the investment professional and credentials.

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