Check the Background of Your Investment Professional

Check the Background of Your Investment Professional

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

Features of FINRA BrokerCheck include:

• Search capabilities for both a broker and brokerage firm
• Online delivery of a report on a broker or brokerage firm
• Explanatory information to help investors better understand the content, context and source of the information provided
• Links to additional resources and tools

The information 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. BrokerCheck features professional background information on approximately 660,000 currently registered brokers and 5,100 currently registered securities firms. Information is also available on thousands of formerly registered firms and brokers.