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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). This site contains information reported about an individual, including qualifications, employment history and disclosure events.
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.
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.
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.
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.
BrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors.
16 maj 2014 · Until Rule 4553 is approved, FINRA will make the ATS Transparency Data available on its website for viewing at no charge to all users. Once FINRA receives approval of the rule, FINRA will publish a notice with details about when the data will be available for download and how to register.
