From the time they register—and throughout their careers in the securities industry—individuals and firms must inform FINRA if certain events occur; these events include regulatory actions, criminal convictions, and for brokers, customer complaints. BrokerCheck provides an overview of a broker's work history, as well as brokerage firm history.
Brokers and investment advisers are qualified to perform certain tasks for clients, based on the exams they have passed and state licenses they hold. Brokers and brokerage firms are required to update their professional and disciplinary information, generally within 30 days.
BrokerCheck is a free tool which is part of FINRA's ongoing efforts to help investors make informed choices about brokers and brokerage firms.
The information contained in BrokerCheck is collected through FINRA's registration process.
Simply type in your current or prospective broker’s name to see employment history, certifications, and licenses—as well as regulatory actions, violations or complaints you might want to know about. FINRA can’t tell you if someone is a “good” broker—but BrokerCheck gives you information about that person’s experience, credentials, and history so you can make an informed decision. It’s also possible that a broker has worked in other parts of the financial services industry (for example, insurance or banking).
BrokerCheck also provides information about formerly registered brokers who, although no longer registered in the securities industry, may work in other financial services industries.
Individuals and firms must be registered with FINRA (for brokers), the SEC (for certain investment advisers), and in those states where required by law.
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