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BrokerCheck - FINRA

BrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors.

DA: 41 PA: 32 MOZ Rank: 59

BrokerCheck Release Notes |

Individual BrokerCheck Reports. ... A new Feedback button has been added to the top of every BrokerCheck page to make it simpler to contact FINRA with questions, concerns or to provide feedback and suggestions on BrokerCheck. ... 866-96-FINRA or [email protected] Office of the Ombudsman. Report a concern about FINRA at 888-700-0028.

DA: 10 PA: 6 MOZ Rank: 72

BrokerCheck |

Contact FINRA at 301-590-6500. Rules & Guidance. R&G section 1. FINRA Manual ... SEC Approves Changes to Expand the Categories of Civil Judicial Disclosures Permanently Included in BrokerCheck and to Include in BrokerCheck Information About Member Firms and Their Associated Persons of Any Registered National Securities Exchange That Uses the ...

DA: 2 PA: 90 MOZ Rank: 100


Thank you for using FINRA BrokerCheck. For more information about FINRA, visit Using this site/information means that you accept the FINRA BrokerCheck Terms and Conditions. A complete list of Terms and Conditions can be found at For additional information about the contents of this report, please refer to the User Guidance or www ...

DA: 33 PA: 48 MOZ Rank: 45

FINRA Wants IAR Info to Be Available on BrokerCheck ...

FINRA is now proposing to amend Rule 8312, FINRA BrokerCheck Disclosure, to make corresponding changes to allow the dissemination through BrokerCheck of IAPD information. FINRA has filed the ...

DA: 93 PA: 42 MOZ Rank: 80

FINRA Hotline |

FINRA OPERATING STATUS. Due to the COVID-19 outbreak, most FINRA staff are working remotely. FINRA remains fully operational through the support of our robust remote work capabilities and continues to carry out all of our regulatory responsibilities, protecting investors and market integrity. This message was updated March 13, 2020, at 4:20 PM.

DA: 80 PA: 80 MOZ Rank: 7

Investor Contacts |

FINRA BrokerCheck Hotline. ... Firms and registered representatives should contact their FINRA Coordinator or the FINRA Call Center: (301) 590-6500. Office of the Ombudsman. ... 866-96-FINRA or [email protected] Office of the Ombudsman. Report a concern about FINRA at 888-700-0028.

DA: 76 PA: 60 MOZ Rank: 68

Using the FINRA BrokerCheck Database

BrokerCheck is a FINRA service that allows investors to check the backgrounds of brokers (many, but not all, of which are called financial advisors these days) and brokerage firms. It also contains information on formerly registered brokers; many of these people may still be working in the securities or investment fields, and thus information about them may be of use to investors.

DA: 2 PA: 37 MOZ Rank: 22

Contact FINRA |

FINRA staff is working remotely in light of COVID-19 . We strongly encourage investors who are filing complaints to do so electronically. Investor Contacts Investor Complaint Center FINRA investigates complaints against brokerage firms and their employees. FINRA is empowered to take disciplinary actions, including fines, suspensions and other sanctions.

DA: 80 PA: 23 MOZ Rank: 56