Why Use BrokerCheck?
BrokerCheck Features
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?
Browse the list of brokers barred by FINRA.
Check out the new SEC Action Lookup tool for formal actions that the SEC has brought against individuals, including those who are not brokers.
Go to your state securities regulator to do additional research on brokers and investment advisers.
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.
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.
Who is FINRA? FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. We are authorized by Congress to protect America’s investors by making sure the securities industry operates fairly and honestly.
Learn more about FINRA at www.finra.org
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