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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.
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BrokerCheck is a trusted tool that shows you employment...
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BrokerCheck is a trusted tool that shows you employment...
- About BrokerCheck
A BrokerCheck report for an investment professional who is...
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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.
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). This site contains information reported about an individual, including qualifications, employment history and disclosure events.
Refine your search by entering only part of the name of the individual or firm. The CRD number, SEC number or zip code is incorrect or invalid. Make sure that you have entered the correct information or try using different criteria for your search.
BrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors.
With FINRA BrokerCheck, you can research the licenses, work history and any legal or disciplinary disclosures of brokers.
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.
