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Investor Protection Resources

FINRA Broker Check

FINRA Broker Check is part of FINRA’s ongoing efforts to help investors make informed choices about the FINRA-registered brokers and brokerage firms with which they may wish to do business, as well as to provide the public with access to information about formerly registered brokers who, although no longer in the securities industry in a registered capacity, may work in other investment-related industries or may seek to attain other positions of trust with potential investors and about whom investors may wish to learn relevant information. The information contained in the reports is collected through the securities industry’s registration and licensing process.

FINRA Broker Check┬áis part of FINRA’s ongoing efforts to help investors make informed choices about the FINRA-registered brokers and brokerage firms with which they may wish to do business, as well as to provide the public with access to information about formerly registered brokers who, although no longer in the securities industry in a registered capacity, may work in other investment-related industries or may seek to attain other positions of trust with potential investors and about whom investors may wish to learn relevant information. The information contained in the reports is collected through the securities industry’s registration and licensing process.