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

   brokercheck.finra.org

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

   • A Vibrant Market is at Its Best When It Works for Everyone

     A vibrant market is at its best when it works for everyone....

   • About Brokercheck

     BrokerCheck is a free tool from FINRA that can help you...

   • Privacy

     I. Introduction FINRA, a not-for-profit organization, is...

   • Legal

     The works of authorship contained in the FINRA Website,...

   • CRD#:250

     The content of this summary, and the available detailed...

   • Arbitration Awards Online

     FINRA's Arbitration Awards Online database (“AAO”)...

   • Upgrade Your Web Browser

     Today's websites (including FINRA.org) use technologies such...

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.

3. www.finra.org › registration-exams-ce › classic-crdIndividual Registration and Licensing Information | FINRA.org

   www.finra.org › registration-exams-ce › classic-crd

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   Individuals who are or have been registered as a broker or investment adviser representative can now access their registration and licensing information via the Financial Professional Gateway (FinPro).

4. www.finra.org › investors › investingBrokerCheck Search Help - FINRA.org

   www.finra.org › investors › investing

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   Refine your search by entering only part of the name of the individual or firm. The CRD number, SEC number or zip code is incorrect or invalid. Make sure that you have entered the correct information or try using different criteria for your search.

5. www.investor.gov › introduction-investing › getting-startedUsing BrokerCheck - Investor.gov

   www.investor.gov › introduction-investing › getting-started

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   Details on a broker’s background and qualifications are available for free on FINRA’s BrokerCheck website. Using BrokerCheck, you can search for a brokerage firm or individual broker by name or registration number, and link to state regulators’ websites.

6. www.investor.gov › introduction-investing › getting-startedCheck Out Your Investment Professional | Investor.gov

   www.investor.gov › introduction-investing › getting-started

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   There you can find out if your investment professional and his/her firm is licensed with the SEC, with a state(s), and/or with FINRA (the Financial Industry Regulatory Authority). You can also learn about any disciplinary history the investment professional or his/her firm may have.

7. smartasset.com › investing › how-to-use-finra-brokercheckFINRA BrokerCheck: What It Is and How to Use It - SmartAsset

   smartasset.com › investing › how-to-use-finra-brokercheck

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   With FINRA BrokerCheck, you can research the licenses, work history and any legal or disciplinary disclosures of brokers.