Tips on How to Perform a Name Search for a Broker or Firm In Web CRD

Web CRD uses industry-standard name search logic with an Oracle database. This logic will not produce a match (unless "sounds like" has been selected) if the name you specify contains characters that do not match the name in the database. When making a search, remember that sometimes less is more. If you do not know whether an individual’s name is Steven or Stephen, search using the first initial. In addition, if you search using the individual’s middle initial, do not use a period (".") after the letter (e.g., "V."), or your search will fail.

 

Broker Name

 

If you know the exact spelling of an individual’s last name:

• Enter the full last name and as much of the first and middle names as possible.
• If you do not know the exact spelling of the first/middle name, enter the first initial only. Entering a misspelled first and/or middle name will prevent a match, even if the last name is correct.
• Please note, if the entire name is not spelled correctly, you will receive a message stating that, "No individuals were found matching the search criteria, or you are not entitled to view this individual's information."
• Even if you know the individual’s last name, you may not get a match because the individual does not use his/her first name. In this case, you should enter the last name, and firm and/or state information to narrow the search, and then click on each search result to determine if the individual uses an alias or nickname.

If you do not know the exact spelling of an individual’s last name:

 

• Enter as much of the last name as possible, and click the button for "perform ‘sounds like’ search on Individual Last Name". Searches using "Sounds Like" will return names that sound like the name that was entered.
• If you receive a message that states, "Too many records returned, please narrow down your search criteria," you can either scroll down the long list of names or narrow your search.
• You can narrow a search under the "Sounds Like" feature by entering one or more of the individual’s state (of residence), firm name or firm CRD #.
• Please note that if you do not enter enough letters in the last name, the name for which you are searching may not appear in the results list. For example, if you enter only "V" and "Sounds Like", not every name beginning with "V" will appear. You should enter as much of the last name as possible, even if not spelled correctly, and narrow your search as suggested above.

Firm Name

 

If you know the exact name and spelling (including any punctuation) of a firm name:

 

• Enter the name and choose "Starts With", "Contains", or "Sounds Like" button
• Depending on the button you choose, the search may result in one or more possible firms.

If you do not know the exact name and spelling (including punctuation) of a firm name:

 

• It is recommended that you enter part of the name (e.g., Merrill) and choose "Starts With" or "Contains" for optimum results.
• Please note, if you enter the full name and do not include the proper punctuation, the search may state "No Records Found". For example, if you enter ‘AG Edwards’ and choose "Starts With" or "Contains", you will receive the message "No Records Found". If you enter ‘AG Edwards’ and choose "Sounds Like", ‘A.G. Edwards & Sons, Inc.’ will result.

If you use these tips and are still having difficulties in searching for a broker or firm name, please call the State Desk (Regulators) or Gateway Call Center (firms).