Broker Check

BrokerCheck by FINRA is a tool to research the background and experience of financial brokers, advisers and firms. BrokerCheck helps you make informed choices about brokers and brokerage firms-and provides easy access to investment adviser information. BrokerCheck tells you instantly whether a person or firm is registered, as required by law, to sell securities (stocks, bonds, mutual funds and more), offer investment advice or both. BrokerCheck also gives you a snapshot of a broker’s employment history, regulatory actions, and investment-related licensing information, arbitrations and complaints.

Average Turn-Around Time

1 – 2 Business Days