FINRA BrokerCheck® - Research Brokers, Brokerage Firms, Investment Adviser Representatives and Investment Adviser Firms

 

Start searching for brokers, brokerage firms,investment advisers and investment adviser firms.

 

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

 

Through BrokerCheck, investors can:

 

  • Search for information about brokers and brokerage firms
  • Search for information about investment adviser firms and representatives
  • Obtain online background reports, if available
  • Link to additional resources such as educational tools for investors

 

The information about brokers and brokerage firms 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 1.3 million current and former FINRA-registered brokers and 17,400 current and former FINRA-registered brokerage firms.

 

The information about investment adviser firms and representatives made available through BrokerCheck is derived from the Securities and Exchange Commission’s Investment Adviser Public Disclosure (IAPD) database. IAPD features professional background information on approximately 441,000 current and former investment adviser representatives and 45,700 current and former investment adviser firms. More detailed information about these firms and representatives can be obtained via the provided hyperlinks to the IAPD website.

 

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

 

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Related Resources

 

If you have trouble viewing PDF files in BrokerCheck please view this PDF help page.

 

 

Professional Designations Database
Before you engage an investment professional, make sure you research—and understand—the professional designations they use.

 


List of State Securities Regulators

You can obtain additional information on investment professionals from your state securities regulator.