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The Registration Status of Approved Pending Prints is set when: The fingerprint bar code has been entered at the time of the electronic filing and the fingerprint card has not yet been received by FINRA.
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).
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 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.
Access the registration records of industry individuals being considered for employment. You can use the Example Payloads provided for this dataset in documentation to test it out below. https://api.finra.org/data/group/registration/name/preRegistrationIndividualMock.
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 is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors.
