Brokercheck

We use cookies to provide social media features and to analyse our brokercheck. We also share information about your use of our site with our social media and analytics partners. Details here. So I have gone through your forum and then finally realized it is not yet white listed.

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 does not contain any information that has not been disclosed to the CRD system, personal or confidential information, or judgments or liens. 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.

Brokercheck

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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

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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. Our tireless devs will get back to you soon. Compare Accounts. You can learn more about the standards we follow in producing accurate, unbiased content in our editorial policy. OK Cancel. Could you give us a link to the API documentation? Thanks for the feedback! So can you please white list this one? BrokerCheck provides information on investment firms including:. We also reference original research from other reputable publishers where appropriate. Related Articles. Please try again in a few moments

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Investopedia is part of the Dotdash Meredith publishing family. How It Works. Measure content performance. Please try again in a few moments We also reference original research from other reputable publishers where appropriate. Develop and improve services. So can you please white list this one? Our tireless devs will get back to you soon. Partner Links. Use profiles to select personalised content. FINRA will collect personal information only in those situations where a request is made that a BrokerCheck report is mailed. 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.