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BrokerCheck - Find a broker, investment or financial advisor
https://brokercheck.finra.org/
WEBBrokerCheck 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.
DA: 78 PA: 26 MOZ Rank: 42
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Central Registration Depository (CRD) | FINRA.org
https://www.finra.org/registration-exams-ce/classic-crd
WEBFINRA is responsible for the Central Registration Depository (CRD ®) program, which supports the licensing and registration filing requirements of the U.S. securities industry and its regulators. The CRD program covers the registration records of broker-dealer firms, branch offices and their associated individuals, including their ...
DA: 76 PA: 3 MOZ Rank: 58
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BrokerCheck Search Help | FINRA.org
https://www.finra.org/investors/investing/working-with-investment-professional/about-brokercheck/search-help
WEBRefine your search by entering only part of the name of the individual or firm. The CRD number, SEC number or zip code is incorrect or invalid. Make sure that you have entered the correct information or try using different criteria for your search.
DA: 18 PA: 74 MOZ Rank: 57
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About BrokerCheck | FINRA.org
https://www.finra.org/investors/investing/working-with-investment-professional/about-brokercheck
WEBThe information about brokerage firms and associated registered investment professionals that you find in BrokerCheck comes from the Central Registration Depository (CRD®), which is the securities industry online registration and licensing database.
DA: 19 PA: 36 MOZ Rank: 58
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Individual Registration and Licensing Information | FINRA.org
https://www.finra.org/registration-exams-ce/classic-crd/snapshot-reports
WEBIndividuals who are or have been registered as a broker or investment adviser representative can now access their registration and licensing information via the Financial Professional Gateway (FinPro). This site contains information reported about an individual, including qualifications, employment history and disclosure events.
DA: 79 PA: 62 MOZ Rank: 93
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CRD Links | FINRA.org
https://www.finra.org/registration-exams-ce/web-crd/web-crd-system-links
WEBCRD Links. The following are the links to access the CRD program-related applications. Applications for Firms. Classic CRD Site: https://crd.finra.org. FINRA Gateway: https://gateway.finra.org/. These secure systems are for entitled users only.
DA: 30 PA: 15 MOZ Rank: 53
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BrokerCheck - Find a broker, investment or financial advisor
https://brokercheck.finra.org/firm/
WEBBrokerCheck - Find a broker, investment or financial advisor. BrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors.
DA: 18 PA: 86 MOZ Rank: 61
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Using BrokerCheck | Investor.gov
https://www.investor.gov/introduction-investing/getting-started/working-investment-professional/using-brokercheck
WEBYou can search the FINRA Disciplinary Actions Online by individual name, firm name, case number, date range, document type, document text, or CRD number. Results will include opinions issued by the SEC and federal appellate courts that relate to FINRA disciplinary actions that have been appealed.
DA: 42 PA: 32 MOZ Rank: 36
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What Is FINRA's Central Registration Depository (CRD)? - Investopedia
https://www.investopedia.com/terms/c/crd.asp
WEBNov 29, 2020 · The Central Registration Depository (CRD) is a database maintained by FINRA of all firms and individuals involved in the U.S. securities industry.
DA: 12 PA: 20 MOZ Rank: 58
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Checking Out a Brokerage Firm, Individual Broker, Investment …
https://www.sec.gov/fast-answers/answerscrd
WEBFeb 14, 2012 · Check the adviser’s registration status. View the adviser’s current disclosures made through its Form ADV filing. Link to a state regulator’s website. Link to the FINRA BrokerCheck website. Investment adviser firms that have not registered with the SEC electronically will not appear on the IAPD page.
DA: 69 PA: 29 MOZ Rank: 55
