BrokerCheck is a free tool created by the Financial Industry Regulatory Authority (FINRA) to research the background and experience of financial advisers and firms.
Why Use BrokerCheck?
BrokerCheck helps you make informed choices about brokers and brokerage firms-and provides easy access to investment adviser information.
BrokerCheck tells you instantly whether a person or firm is registered, as required by law, to sell securities (stocks, bonds, mutual funds and more), offer investment advice or both.
BrokerCheck gives you a snapshot of a broker's employment history, regulatory actions, and investment-related licensing information, arbitrations and complaints.
Want more information about financial brokers & advisers?
- âBrowse the list of brokers barred by FINRA.
- âCheck out the SEC Action Lookup tool for formal actions that the SEC has brought against individuals, including those who are not brokers.
- âGo to your state securities regulator to do additional research on brokers and investment advisers.
- âFor information on a firm or individual's derivatives-related registrations, professional background, disciplinary history and more, please also search NFA's BASIC system.
BrokerCheck does not have information regarding civil litigation not involving investments, civil protective orders, criminal matters unless they are felonies, or misdemeanors that are investment-related or involve theft or a "breach of trust." Consider doing an internet search to check for that type of information.