BrokerCheck, by the Financial Industry Regulatory Authority (FINRA), is a free tool that provides useful background information on a financial broker or firm. Any broker or firm currently registered with FINRA or a national securities exchange within the last ten years can be located. BrokerCheck will show a broker’s employment history, licensing information, regulatory actions, and more. This information comes from the Central Registration Depository (CRD)—FINRA’s online registration and licensing database—and is limited to the United States.
Conducting a background investigation and need to know whether an individual has been barred by FINRA? You can research through an alphabetized list to determine whether the person is legitimate and able to operate in the United States as a broker. As of this writing, the list includes barred individuals from August 16, 1999 to October 31, 2019. You are able to click on a name and receive a detailed report of the person’s employment history, exams, state licensures, and, if applicable, whether the person has appealed FINRA’s final action to the SEC.
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