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That's why FINRA has launched the new FINRA Gateway. BrokerCheck 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. Find out how to use FINRA BrokerCheck, SEC tools, and state regulators to research licensed professionals, registered investments, and disclosure events.

BrokerCheck is a free tool which is part of FINRA's ongoing efforts to help investors make informed choices about brokers and brokerage firms. The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. Rule 8312, amendments to the rule and notices related to U Securities and Exchange Commission approval orders, can be viewed here State regulators are governed by their public records laws (not FINRA Rule 8312), and may. Go to your state securities regulator to do additional research on brokers and investment advisers.

It provides investors with access to important information about their financial professionals, including their registration, employment history, and any disciplinary actions or complaints. " Go to your state securities regulator to do additional research on brokers and investment advisers. ….

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The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. BrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors. Fax: (240) 386-4750 Tips for searching BrokerCheck.

The BrokerCheck dispute process, as defined in FINRA Rule 8312(e), allows eligible individuals and FINRA firms to dispute or update the accuracy of information that is disclosed in their own BrokerCheck reports. BrokerCheck 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.

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