FINRA BrokerCheck



An information vehicle containing statistics on both past and present securities brokers and firms registered with FINRA. With FINRA BrokerCheck, an investor can find a firm's history, learn of any indiscretions and locate and identify popular choices among investors.


FINRA BrokerCheck was created by the Central Registration Depository. The database contains information on approximately 665,000 brokers and firms, as well as thousands of previously registered ones. FINRA BrokerCheck is also an explanatory tool that shows how to properly use and manage the information provided.

  1. Dealer

    A person or firm in the business of buying and selling securities ...
  2. Intermarket Surveillance Group ...

    An international group consisting of North American, Asian and ...
  3. SEC Form PILOT

    A form that is filed with the SEC by self-regulatory organizations ...
  4. Broker-Dealer

    A person or firm in the business of buying and selling securities, ...
  5. Securities And Exchange Commission ...

    A government commission created by Congress to regulate the securities ...
  6. Contra Broker

    A term used to describe the broker participating on the opposite ...
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  1. Are hedge funds regulated by FINRA?

    Alternative investment vehicles such as hedge funds offer investors a wider range of possibilities due to certain exceptions ... Read Full Answer >>
  2. Are UTMA accounts escheatable?

    Like most financial assets held by institutions such as banks and investment firms, UTMA accounts can be escheated by state ... Read Full Answer >>
  3. Can the IRS audit you after a refund?

    The U.S. Internal Revenue Service (IRS) can audit tax returns even after it has issued a tax refund to a taxpayer. According ... Read Full Answer >>
  4. How does escheatment impact a company?

    In recent years, state governments have become increasingly aggressive in enforcing escheatment laws. As a result, many businesses ... Read Full Answer >>
  5. What happens if property is wrongfully escheated?

    If your financial accounts, such as bank, investment or savings accounts, are declared dormant and the managing financial ... Read Full Answer >>
  6. How do financial advisors help you avoid escheatment?

    Financial advisors can help you avoid the escheatment of your financial assets by regularly reviewing all of your accounts, ... Read Full Answer >>

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