BrokerCheck gives you a snapshot of a broker's employment history, regulatory actions, and investment-related licensing information, arbitrations and complaints. Want more information? Browse the list of brokers barred by FINRA.

Using BrokerCheck, you can search for a brokerage firm or individual broker by name or registration number, and link to state regulators’ websites. In addition to BrokerCheck, FINRA has a separate database for viewing FINRA’s disciplinary actions against brokers.

BrokerCheck gives you a snapshot of a broker's employment history, regulatory actions, and investment-related licensing information, arbitrations and complaints. Want more information? Browse the list of brokers barred by 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.

You may search BrokerCheck for an individual or firm by name, CRD/SEC number, employing firm (individual searches only) or zip code. You can narrow the search results you get by adding one or more of the search criteria noted above.

You can also learn about any disciplinary history the investment professional or his/her firm may have. If necessary, you may be automatically directed to BrokerCheck, a website run by FINRA specifically for broker-dealers. Visit Working with An Investment Professional to learn more about investment advisers and brokers.

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.

Aug 6, 2020 · The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to show investors how to use Investor.gov’s free and easy search tool to help you check out brokers and investment advisers.

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

Sep 10, 2024 · FINRA BrokerCheck is a free, online tool that helps individuals research brokers, investment firms, and financial advisers. FINRA regulates all securities firms doing business in the United...