BrokerCheck

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BrokerCheck is an online service provided by the Financial Industry Regulatory Authority (FINRA), the largest non-governmental regulator for securities firms doing business in the U.S.[1] It provides information for investors about current and former FINRA-registered firms. Among other things, it highlights whether a broker is licensed in the investor's state to conduct business or whether he/she has been sanctioned by securities regulators for violations of investment-related regulations or statutes. It also provides information about individuals who are currently FINRA-registered or have been registered with FINRA within the previous two years as well as about firms who are currently or in the past have been registered with FINRA.

The web site is www.finra.org/brokercheck. BrokerCheck reports are free.

Information about brokers and brokerage firms made available through FINRA BrokerCheck is derived from the Central Registration Depository (CRD), the securities industry online registration and licensing database, as reported on industry registration/licensing forms brokers, brokerage firms and regulators complete.

References

  1. BrokerCheck web site. FINRA.