FINRA BrokerCheck is a free, online tool offered by the Financial Industry Regulatory Authority (FINRA). By using this tool, individuals can gain valuable insights into the professional backgrounds, qualifications, and services provided by brokers, investment firms, and financial advisers.

FINRA BrokerCheck is designed to provide the public with a convenient and reliable source of information needed to make informed choices when selecting a broker, investment firm, or financial adviser. It provides investors with critical information such as the professional qualifications, disciplinary history, and services offered by these firms. Additionally, users can view the investment firm’s formal disclosures and regulatory actions they have taken.

FINRA BrokerCheck makes a great starting point for doing your diligence when researching a broker, investment firm, or financial adviser. The information provided via BrokerCheck covers a wide range of topics such as:

• The professional qualifications of the firm and its personnel, including any disciplinary or customer complaint histories;

• Regulatory actions taken by FINRA, the Securities Exchange Commission (SEC), and other regulators;

• Awards and licenses held;

• The products and services offered by the firm, such as mutual funds, stocks, and other securities products;

• Employment and registration histories; and

• Disclosure agreements and other related documents.

FINRA also provides educational resources for investors, such as a glossary, investor tips,and special reports. With this in mind, FINRA BrokerCheck is a great source of information for anyone interested in investing in the securities markets and actively managing their own investments.

FINRA BrokerCheck is the only online tool available to the public that contains all the information needed to make an informed decision when selecting a broker, investment firm, or financial adviser. In addition to providing critical information, FINRA remains committed to protecting investors from fraud and safeguarding investors’ interests by vigorously enforcing the regulations governing the financial services industry. Using FINRA BrokerCheck to research potential investments provides the public with peace of mind that they are making a sound decision and are aware of the background and services of the investment firms they select.