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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.
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BrokerCheck tells you instantly whether a person or firm is...
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BrokerCheck tells you instantly whether a person or firm is...
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The CRD program covers the registration records of broker-dealer firms, branch offices and their associated individuals, including their qualification, employment and disclosure histories; it also directs the processing of form filings, fingerprint submissions, collection and disbursement of registration-related fees, qualification exams and ...
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.
BrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors.
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.
7 Οκτ 2011 · The information about brokerage firms and associated registered investment professionals that you find in BrokerCheck comes from the Central Registration Depository (CRD®), which is the securities industry online registration and licensing database.
9 Μαρ 2024 · You can search for a broker CRD number on FINRA's BrokerCheck website or call at (800) 289-9999. You may also check with your state securities regulator.
