FINRA BrokerCheck

Using BrokerCheck

Using BrokerCheck, you can search for a brokerage firm or individual broker by name or registration number, and link to state regulators’ websites.
 

For individual brokers, BrokerCheck will tell you:

  • Where the broker currently works
  • The broker’s past 10 years of employment, in and outside the brokerage industry
  • What licenses the broker holds and where the broker is registered
  • Qualification exams the broker has passed

BrokerCheck also will tell you whether the broker has been:

  • Charged or convicted of any criminal felonies
  • Charged or convicted of any investment-related misdemeanors
  • Subject to any industry disciplinary actions or investigations by regulators
  • Involved in any investment-related civil actions or proceedings
  • Named in any consumer-initiated complaints, arbitration proceedings, or civil law suits
  • Cited for failing to pay judgments or liens
  • In bankruptcy proceedings
  • Terminated by an employer following allegations of misconduct or failing to supervise subordinates
Details on a broker’s background and qualifications are available on FINRA's BrokerCheck Website: http://brokercheck.finra.org