FINRA BrokerCheck®

Check the Background of Your Investment Professional

 

Look Up a Brokerage Firm or Individual Broker in BrokerCheck

 

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BrokerCheck is a free tool to help investors research the professional backgrounds of current and former FINRA-registered brokerage firms and brokers. It should be the first resource investors turn to when choosing whether to do business or continue to do business with a particular broker or brokerage firm.

 

Through BrokerCheck, investors can:

 

  • Search for both brokers and brokerage firms
  • Obtain online delivery of a background report
  • View explanatory information to help them better understand the content, context and source of the information provided
  • See links to additional resources and tools

 

The information made available through BrokerCheck is derived from the Central Registration Depository (CRD®), the securities industry online registration and licensing database. Information in CRD is obtained through forms that brokers, brokerage firms and regulators complete as part of the securities industry registration and licensing process. BrokerCheck features professional background information on approximately 850,000 current and former FINRA-registered brokers and 17,000 current and former FINRA-registered brokerage firms.

 

For questions regarding BrokerCheck:

 

  • call toll-free (800) 289-9999 Monday through Friday from 8 a.m. - 8 p.m., Eastern Time, or
  • email us

 

To access BrokerCheck, your browser must have cookies enabled.

Related Resources

 

Professional Designations Database
Learn about the designations that many investment professionals hold.


Investment Advisor Search

Search for information about Investment Adviser (IA) firms regulated by, and electronically registered with, the Securities and Exchange Commission (SEC) or state regulators. The SEC regulates IA firms with more than $25 million in assets under management (and certain other IA firms that meet other statutory criteria). IA firms regulated by the SEC must submit their required registration forms (Form ADV) to the SEC via the Investment Adviser Registration Depository (IARD®). Some state-regulated IA firms also submit their registration forms (also on Form ADV) through the IARD.


List of State Securities Regulators

Additional information may be obtained through state disclosure programs.