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BrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors.
BrokerCheck is a free tool from FINRA that can help you research the professional backgrounds of investment professionals, brokerage firms and investment adviser firms.
Frequently asked questions about FINRA BrokerCheck, a free tool for researching brokers, brokerage firms, investment advisers & investment adviser firms.
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.
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.
19 Ιαν 2023 · BrokerCheck is a free online tool provided by the Financial Industry Regulatory Authority (FINRA). Investors can use it to research and verify the professional backgrounds of brokers, brokerage...
10 Σεπ 2024 · FINRA BrokerCheck is a free, online tool that helps individuals research brokers, investment firms, and financial advisers. The Financial Industry Regulatory Authority (FINRA) is the largest non...
2 Ιουν 2023 · BrokerCheck is a tool any investor can use to research a financial professional or firm. This tool enables individuals to complete a thorough background check on financial professionals like brokers, brokerage firms, financial advisors, investment advisors, advising firms, etc.
20 Φεβ 2023 · BrokerCheck can help you check the following: The advisor or broker’s qualifications, their license, and where they are registered. The firm where the broker or advisor currently works. The professional's employment history for the past ten years, including any work experience outside the brokerage industry.
24 Ιαν 2024 · FINRA BrokerCheck plays a vital role in investor protection by providing a valuable resource for researching brokers and brokerage firms. The tool helps investors make informed decisions and promotes transparency within the financial industry, reducing the likelihood of fraud and misconduct.
