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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

     FINRA Gateway & FinPro Users. FINRA will test and support...

   • Investment Advisers

     You can get background information on both SEC- and...

2. www.finra.org › investors › investingInvestment Advisers - FINRA.org

   www.finra.org › investors › investing

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   You can get background information on both SEC- and state-registered investment advisers by using FINRA BrokerCheck or calling us toll-free at (800) 289-9999. You can also get background information using the SEC Action Lookup – Individuals (SALI) tool and Investment Adviser Public Disclosure database.

3. www.finra.org › investing › working-with-investment-professionalAbout BrokerCheck - FINRA.org

   www.finra.org › investing › working-with-investment-professional

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   7 paź 2011 · BrokerCheck is a free tool from FINRA that can help you research the professional backgrounds of investment professionals, brokerage firms and investment adviser firms.

4. adviserinfo.sec.govIAPD - Investment Adviser Public Disclosure - Homepage

   adviserinfo.sec.gov

   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. Investment advisers file Form ADV to register with the SEC and/or the states.

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

   www.finra.org › investors › investing

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   BrokerCheck Search Help. You may search BrokerCheck for an individual or firm by name, CRD/SEC number, employing firm (individual searches only) or zip code.

6. www.forbes.com › advisor › investingWhat Is BrokerCheck? How Should You Use It? – Forbes Advisor

   www.forbes.com › advisor › investing

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   19 sty 2023 · BrokerCheck is a free tool provided by FINRA that allows investors to quickly and easily research the professional backgrounds of brokers, brokerage firms, investment advisors and advisor firms.

7. www.investor.gov › working-investment-professional › using-brokercheckUsing BrokerCheck - Investor.gov

   www.investor.gov › working-investment-professional › using-brokercheck

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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.