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

   brokercheck.finra.org

   BrokerCheck gives you a snapshot of a broker's employment history, regulatory actions, and investment-related licensing information, arbitrations and complaints.

   • 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

     A BrokerCheck report for an investment professional who is...

   • 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 › 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).

3. brokercheck.finra.org › professionalBrokerCheck - Find a broker, investment or financial advisor

   brokercheck.finra.org › professional

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

4. www.finra.org › investors › investingAbout BrokerCheck - FINRA.org

   www.finra.org › investors › investing

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   A BrokerCheck report for an investment professional who is currently registered with FINRA or a national securities exchange, or who has been registered within the last 10 years, contains: A summary section that provides a brief overview of the investment professional and credentials.

5. www.finra.org › registration-exams-ce › qualification-examsQualification Exams - FINRA.org

   www.finra.org › registration-exams-ce › qualification-exams

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   To become registered, securities professionals must pass qualifying exams administered by FINRA to demonstrate their competence in the particular securities activities in which they will work. An individual must pass the exams prior to engaging in those areas of the business.

6. www.nasaa.org › verify-a-licenseVerify a License - NASAA

   www.nasaa.org › verify-a-license

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   Verify a License. By clicking on a match or otherwise using BrokerCheck® I agree to BrokerCheck® Terms of Use.

7. 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.