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

   brokercheck.finra.org

   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.

   • 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

     (i) S&P Global Ratings are opinions and not recommendations...

   • CRD#:250

     The content of this summary, and the available detailed...

   • Arbitration Awards Online

     FINRA's Arbitration Awards Online database (“AAO”)...

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     If you were automatically re-directed to this page, you are...

2. www.investor.gov › working-investment-professional › check-out-your-investmentCheck Out Your Investment Professional - Investor.gov

   www.investor.gov › working-investment-professional › check-out-your-investment

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   There you can find out if your investment professional and his/her firm is licensed with the SEC, with a state(s), and/or with FINRA (the Financial Industry Regulatory Authority). You can also learn about any disciplinary history the investment professional or his/her firm may have.

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

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

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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.

4. www.finra.org › about-brokercheck › search-helpBrokerCheck Search Help - FINRA.org

   www.finra.org › about-brokercheck › search-help

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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.

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

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

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   For individual brokers, BrokerCheck will tell you: Where the broker works currently. The broker’s employment history for the past 10 years, in and outside the brokerage industry. What licenses the broker holds and where the broker is registered. The qualification exams the broker has passed.

6. 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).

7. www.investor.gov › getting-started › researching-investmentsAsk and Check - Investor.gov

   www.investor.gov › getting-started › researching-investments

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   You can find registration status, background information (such as the firm’s business practices, fees, conflicts of interest, and disciplinary history, and an individual’s qualifications and employment history).