About BrokerCheck

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How can I check the background of an investment professional or firm? You can find out, among other things, whether your broker or investment adviser representative is licensed in your state to conduct business or whether he or she has been sanctioned by securities regulators for violations of investment-related regulation s or statute s.

While FINRA BrokerCheck should be your first stop for information, you should also consider consulting your state securities regulatorlocal consumer and investment groups, or others who have established business relationships with a particular broker or investment adviser representative. We oversee approximately 3, brokerage firms,branch offices andregistered securities representatives. Our chief role is to protect investors by maintaining the fairness of the U.

FINRA is dedicated to creating a safer environment for investors in today's complex investment landscape. To that end, FINRA has adopted rules for disclosing information about brokerage firms and brokers registered with FINRA or a national securities exchange to help investors determine whether to conduct, or continue to conduct, business with these brokerage firms and brokers.

FINRA also provides the public with access to relevant information about formerly registered brokers who, although no longer in the securities industry in a registered capacity, may work in other investment-related industries or may seek to attain other positions of trust with potential investors. More detailed information about these individuals and firms can be obtained via the provided hyperlinks to the IAPD website.

How can I request a BrokerCheck Report? What is the cost for a BrokerCheck Report? Will the investment professional or firm know I am checking on them? Neither individuals nor firms are made aware of any search you conduct or any report you request. FINRA will collect your personal information only in those situations where you request that a BrokerCheck report be mailed to you. Is there a limit to the number of searches I can perform?

However, FINRA BrokerCheck requires you to complete an authentication page before you view your first report and after every ten reports. What is the source of the information that is provided through BrokerCheck? How often is the information about brokers and brokerage firms updated? Generally, currently registered brokers and brokerage firms are required to update their professional and disciplinary information in CRD within 30 days.

Under most circumstances, information reported by firms, brokers and regulators is available in BrokerCheck the next business day. How do I use BrokerCheck? Once you perform a search, you can view a report summary on a brokerage firm or broker.

After completing the authentication page, you can view the available information for the investment adviser firm or representative. I am experiencing difficulty accessing certain BrokerCheck Web pages. What could be the reason? In most cases, the technical difficulties experienced in accessing BrokerCheck are related to how a user's computer is set-up. In order to access BrokerCheck, you must have cookies enabled on your computer. Cookies are strings of text that transfer information between Web browsers and Web servers.

There are several uses for cookies. For the purposes of the BrokerCheck system, cookies are utilized to help with back-end interaction, which ultimately improves the utility of the system. Below are some general guidelines that will help you ensure you have enabled cookies on your Web browser.

Why did I get 'no search results' for the individual or firm I was checking? There could be a number of reasons why the brokerage firm, broker, investment adviser or investment adviser representative you are looking for is not listed, such as:.

How can I find the contact information for an investment professional or firm? You can also review the complete list of FINRA-registered brokerage firmswhich includes contact information.

Can I check the background of an individual broker or investment adviser representative who has not been registered within the last 10 years? BrokerCheck provides information on individuals who are currently registered or have been registered within the last 10 years. In addition, as described in Question 13, BrokerCheck provides information on certain individuals who have not been registered within the last 10 years.

Information on a broker or investment adviser representative who has not been registered in the last 10 years also may be available from your state securities regulator. How can I obtain a list of registered brokers, their brokerage firm affiliation and location? FINRA does not publish a list of registered brokers. However, you can look up individual brokers through BrokerCheck.

However, there will not be current information provided on those firms that are not presently registered with FINRA or a national securities exchange.

Will the information that BrokerCheck provides tell me the branch office where a broker is located? Yes, the address es of any registered branch es where a broker is currently conducting business will be provided on the Report Summary page of the BrokerCheck report, as well as in the full report under the Branch Office Location section. How can I determine which qualifying exams a broker has passed? A summary of the types of exams a broker has passed is provided in the Broker Qualification section of the Report Summary.

The full report contains a complete listing of all securities exams the broker has passed. How can I use the arbitration case number I see on the BrokerCheck report to obtain information about that specific arbitration? Once you accept the terms and conditions, the full text of the arbitration award, if available, will be provided to you. How can I narrow the results I get when I search by zip code? To limit the results you get when searching by zip code, try decreasing the search radius of the zip code search or adding an additional search criterion such as the name or CRD Number of the firm or individual you are checking.

Visiting BrokerCheck at www. The BrokerCheck mailing address and fax number are: Box Gaithersburg, MD Fax: Microsoft Internet Explorer 6. Click on the "Privacy" tab. Click the "Default" button or manually slide the bar down to "Medium" under "Settings".

Select the "Privacy" icon in the left panel. Check the box corresponding to "Allow sites to set cookies". Click "OK" to save changes. Google Chrome Type chrome: Your change is automatically saved.

There could be a number of reasons why the brokerage firm, broker, investment adviser or investment adviser representative you are looking for is not listed, such as: The name of the firm or individual you are searching for is misspelled. Revise your search by entering only part of the name of the firm or individual. Ensure that you have entered the correct information or try using different criteria for your search.

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BrokerCheck is a free tool from FINRA that can help you research the professional backgrounds of brokers and brokerage firms, as well as investment adviser firms and advisers. Information in CRD is obtained through forms that brokers, brokerage firms and regulators complete as part of the securities industry registration and licensing process. A BrokerCheck report for a broker who is currently registered with FINRA or a national securities exchange, or who has been registered within the last 10 years, contains:.

A BrokerCheck report for a broker whose registration with FINRA or a national securities exchange terminated more than 10 years ago generally contains:. Generally, active firms and brokers are required to update their professional and disciplinary information in CRD within 30 days. Under most circumstances, information reported by firms, brokers and regulators is available in BrokerCheck the next business day.

Information that has not been reported to the CRD system, certain personal or confidential information for example, Social Security Numbers, residential addresses , and certain information that is no longer required to be reported for example, judgments or liens that have been satisfied is not disclosed through BrokerCheck.

In addition, FINRA reserves the right to exclude information that contains confidential customer information, offensive and potentially defamatory language or information that raises significant identity theft or privacy concerns that are not outweighed by investor protection concerns. Under FINRA's current public disclosure policy, in certain limited circumstances, most often pursuant to a court order, information may be expunged from the CRD system.

A report summary that provides a brief overview of the broker and his or her credentials. A broker qualifications section that includes a listing of the broker's current registrations or licenses, if any, and industry exams he or she has passed.

A registration and employment history section that consists of: The broker's employment history for the last 10 years—both in and outside the securities industry—as reported by the broker on his or her last Form U4 which securities firms use to register brokers with self-regulatory organizations SROs and states. Employment history includes full and part-time work, self-employment, military service, unemployment, and full-time education.

A disclosure section that includes information about customer disputes, disciplinary events and financial matters on the broker's record. Some of these items may involve pending actions or allegations that have not been resolved or proven. The broker's most recently submitted comment s , if any.

A BrokerCheck report for a broker whose registration with FINRA or a national securities exchange terminated more than 10 years ago generally contains: A broker qualifications section that includes a listing of the broker's prior registrations or licenses, and industry exams he or she has passed.

A registration and employment history section that consists of two types of information: A list of securities firms where the broker was previously registered. Please note that one or more of these securities firms no longer may be registered with FINRA or a national securities exchange. The broker's employment history for the last 10 years—both in and outside the securities industry—as reported by the broker on his or her last Form U4 which securities firms use to register brokers with SROs and states.

A disclosure section that includes information about certain criminal, regulatory, civil judicial, or customer complaint events involving the broker.

For an event to be included in a BrokerCheck report, the broker must have been: A BrokerCheck Report for a brokerage firm contains: A report summary that provides a brief overview of the firm and its background.

A firm profile that describes where and when the firm was established, and lists the people and organizations that own controlling shares or directly influence the firm's daily operations.

A firm history that details any mergers, acquisitions or name changes affecting the firm. A firm operations section that lists the firm's active licenses and registrations, the types of businesses it conducts and other details pertaining to its operations.

A disclosure section that contains information about any arbitration awards, disciplinary events, and financial matters on the firm's record.