Brokercheck

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FINRA BrokerCheck is a free, online tool that helps individuals research brokers , investment firms, and financial advisers. Investors can obtain a variety of information, including descriptions, services offered, credentials, sanctions, and registrations, that may be helpful in the selection and vetting of an individual financial advice provider or brokerage firm. FINRA BrokerCheck contains information on approximately 3, brokerage firms, , branch offices, and , registered securities representatives and is an explanatory tool that shows how to properly use and manage the information provided. With FINRA BrokerCheck, an investor can find a firm's history, learn of any indiscretions and locate and identify popular choices among investors. BrokerCheck provides information on investment firms including:.

Brokercheck

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Article Sources. BrokerCheck does not contain any information brokercheck has not been disclosed to the CRD system, brokercheck, personal or confidential information, or judgments or liens.

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The FINRA BrokerCheck database provides key information about individual brokers and brokerage firms, including registrations, employment history — and any criminal matters, regulatory actions and civil judiciary proceedings complaints. BrokerCheck is a good tool for getting basic info about a firm that you are considering. Consider working with a financial advisor as you seek insight and guidance into how to handle your investments. It also provides their licenses and other qualifications — and a detailed report of any disclosures on their record. Alternately, you can enter their Central Registration Depository CRD number, which the broker or advisor will provide if you ask for it. You can find the following information on brokers through BrokerCheck:. You can look up a firm or individual by name or CRD number. This document provides a glance at information like business practices, types of clients served, disciplinary disclosures and much more. Brochures provide more intricate details, such as:.

Brokercheck

Many or all of the products featured here are from our partners who compensate us. This influences which products we write about and where and how the product appears on a page. However, this does not influence our evaluations. Our opinions are our own. Here is a list of our partners and here's how we make money. The investing information provided on this page is for educational purposes only. NerdWallet, Inc. About BrokerCheck. Accessed Apr 26, View all sources.

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You may accept or manage your choices by clicking below, including your right to object where legitimate interest is used, or at any time in the privacy policy page. Measure advertising performance. How It Works. Investors can obtain a variety of information, including descriptions, services offered, credentials, sanctions, and registrations, that may be helpful in the selection and vetting of an individual financial advice provider or brokerage firm. This compensation may impact how and where listings appear. The offers that appear in this table are from partnerships from which Investopedia receives compensation. Understand audiences through statistics or combinations of data from different sources. Our tireless devs will get back to you soon. Use profiles to select personalised advertising. In addition to BrokerCheck, individuals considering hiring a broker or investment adviser should search the resources of their state securities regulators , which also oversee and may require the registration of brokers or advisers.

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Brokers are required to notify FINRA of customer complaints that allege misconduct related to the sale of financial products, even if the allegations are without merit. BrokerCheck provides information on investment firms including:. We also share information about your use of our site with our social media and analytics partners. Toggle navigation. OK Cancel. Could you give us a link to the API documentation? Information Provided. Trending Videos. Table of Contents. Registered brokers and brokerage firms are required to update their professional and disciplinary information in the Central Registration Depository, CRD, within 30 days and information is available in BrokerCheck the next business day. Partner Links. Use limited data to select advertising.