FINRA BrokerCheck

FINRA BrokerCheck is a free, online tool designed to help investors research the professional backgrounds of brokers, brokerage firms, and certain investment adviser firms. It provides detailed information including employment history, credentials, qualifications, licenses, regulatory actions, and any disciplinary events or customer complaints related to financial professionals. This transparency supports informed decision-making and promotes accountability within the securities industry.

The app consolidates data from FINRA’s Central Registration Depository (CRD), a comprehensive database that tracks registration, licensing, and compliance records of financial professionals and firms. Users can access updates about an individual or firm’s employment status, licensing exams passed, and any regulatory disclosures. By making these records publicly available, FINRA BrokerCheck contributes to investor protection and market integrity without requiring specialized industry knowledge.

Key features include easy access to:

• Professional credentials and licensing information
• Employment and registration history
• Disclosures of disciplinary actions, customer complaints, and legal proceedings
• Background checks for brokers and firms

This tool serves as an essential resource for those seeking factual, unbiased information about financial advisors and brokerage entities, supporting transparency and confidence in financial services through accurate regulatory data.

This description was generated by AI (artificial intelligence). AI can make mistakes. Check important info.

Website: brokercheck.finra.org

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