Investment Advisers. 7. Brokercheck.finra.org is not yet rated by Alexa.

BrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors. Brokercheck.finra.org is not yet rated by Alexa. FINRA BrokerCheck Instructions. We offer tips to help you manage your personal finances and set sound financial goals—and we explain in plain language key investing concepts, different types of investments and investment professionals, and questions to ask.

You can find the following information on brokers through BrokerCheck: Report Summary. A broker-dealer and government securities broker or dealer: A government securities broker or dealer only: This firm has ceased activity as a government securities broker or dealer: Yes Yes No No Federal Regulator Status Date Effective SEC Approved 10/14/2013 Self-Regulatory Organization Status Date Effective FINRA Approved 10/14/2013 ©2020 FINRA. FINRA BrokerCheck P.O. If you selected the Individual tab, you will receive the FINRA BrokerCheck Results page. Please note that the broker is required to provide this information only while registered with FINRA or a national securities exchange and the information is not updated via Form U4 after the broker ceases to be registered. BrokerCheck is a FINRA service that allows investors to check the backgrounds of brokers (many, but not all, of which are called financial advisors these days) and brokerage firms. You can search for cases and actions back to 2006 that are eligible for publication pursuant to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information). FINRA BrokerCheck reports are free. For more information about FINRA, visit www.finra.org. In addition to BrokerCheck, FINRA has a separate database for viewing FINRA’s disciplinary actions against brokers. Programmatically run searches against FINRA's Brokercheck database with this API wrapper. This rule requires that broker-dealers choosing to receive or hold customer funds must compute the Reserve Formula on at least a monthly basis and lock up the amount calculated by the formula in a Special Reserve Account for the Exclusive Benefit of Customers.

FINRA stores important information on broker-dealers in their central database, which you can access using BrokerCheck. For more information about FINRA, visit www.finra.org.

For example, you should check that they are … What is the cost for a BrokerCheck Report? Will the investment professional or firm know I am checking on them? Report Summary for this Broker This report summary provides an overview of the broker's professional background and conduct. finra-broker-check. Box 9495 Gaithersburg, MD 20898-9495 Fax: (240) 386-4750; 5. BrokerCheck is a free tool from FINRA that can help you research the professional backgrounds of brokers and brokerage firms, as well as investment adviser firms and advisers. No. To contact FINRA, either visit FINRA's BrokerCheck website or call FINRA's toll-free BrokerCheck hotline at (800) 289-9999. I didn't see any documentation for their API, so I figured I'd try my hand at making my own wrapper for their search tool. FINRA is here to guide you through the investment process so you can make smart financial decisions. From the FINRA BrokerCheck main screen: .