Q:

To find out if your employer is a member of the Financial Industry Regulatory Authority or FINRA (previously the National Association of Securities Dealers (NASD)), perform a search for your firm's name on FINRA's BrokerCheck. BrokerCheck is a free service provided to the public by FINRA.

If your firm is currently registered, its information will be in the BrokerCheck database, as it derives its information from the Central Registration Depository (CRD).

To perform a search now, click here.

A:

MORE FAQS

  1. I have already obtained my Series 7; however, I am no longer working for a member firm. How do I prevent my license from expiring?

  2. I want to start my own brokerage company, how do I become a member of FINRA?

  3. If my employment with my current firm terminates relatively soon, do I have two years before my FINRA exams expire no matter how long I was with the last member firm?

  4. What is the Central Registration Depository?

  5. Are hedge funds regulated by FINRA?

  6. Since I do not have a certificate of completion, where can I get a copy of my exam score(s)?

  7. Is it possible to take the Series 7 exam without being sponsored?

  8. Is it possible to take the Series 6 exam without being sponsored?

  9. How long will my Series 7 license last after my employment has been terminated at a member firm?

  10. How does FINRA differ from the SEC?

  11. Am I qualified once I complete my FINRA certification exam?

  12. I am not currently employed at a member firm, but I have independently written the Series 63 exam. How do I keep this status valid?

  13. My job with a member firm has recently been terminated and I do not want to write all of my securities exams again. How do I prevent my licenses from expiring?

  14. Do financial advisors need to be approved by FINRA?

  15. I have not received my Series 7 exam certificate. Where can I obtain it?

  16. Who's required to fill out a Schedule C IRS form?

  17. What's the difference between IRS Forms 1040EZ and 1040A?

  18. How do Ridesharing Companies Like Uber Make Money?

  19. What is the formula for calculating the current ratio?

  20. What is the formula for calculating weighted average cost of capital (WACC)?

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