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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. Want more information? Browse the list of brokers barred by FINRA.

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

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

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   Qualification Exams. 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.

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

   www.nasaa.org › verify-a-license

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   NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION ™750 First Street NE, Suite 990 Washington, DC 20002 202-737-0900

6. www.the-practice.online › post › what-does-the-finra-series-8-license-entail-andWhat Does the FINRA Series 8 License Entail and Who Needs It?

   www.the-practice.online › post › what-does-the-finra-series-8-license-entail-and

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   26 gru 2023 · The FINRA Series 8 license, officially known as the General Securities Sales Supervisor Qualification Examination (GS), is a regulatory requirement for individuals supervising the sales activities of general securities representatives.

7. www.prometric.com › test-takers › searchFINRA Exams - Prometric

   www.prometric.com › test-takers › search

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   How do I become eligible to take an FINRA exam? You must be registered for your examination(s) with FINRA and receive authorization from your sponsoring firm prior to scheduling your appointment at a Prometric Testing Center.