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The NASD Regulation Public Disclosure Program contains public information about NASD member firms and their associated persons, including registration status, address information, types of business conducted, legal status, and disciplinary history.
Leverage the Nasdaq+ Scorecard to analyze stocks based on your investment priorities and our market data.
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.
Firms We Regulate. FINRA Regulates Broker-Dealers, Capital Acquisition Brokers and Funding Portals. A Broker-Dealer is in the business of buying or selling securities on behalf of its customers or its own account or both. A Capital Acquisition Broker is a Broker-Dealer subject to a narrower rule book. A Funding Portal is a crowdfunding ...
You can search for an Investment Adviser firm on this website and view the registration or reporting form ("Form ADV") that the adviser filed. This website will also search FINRA's BrokerCheck system and indicate whether an entity is a Brokerage firm.
Finn Name. Enter the firm's complete name as listed on the Form BD or the Form ADV. Do not abbreviate, shorten, or modify the firm name in any way. CRD Branch Number. Enter the branch number assigned by the CRD system to identify the individual's branch office. Finn NFA Number. If this form will be filed with the National
3352 Stocks. A list of all the stocks that are currently listed on the NASDAQ stock exchange in the United States.
