Individual Snapshot Report

Individuals who are or have been registered as a broker or investment adviser representative can now access their registration and licensing information by requesting an individual Snapshot Report (Snapshot). A Snapshot contains information that has been reported about an individual, including qualifications, employment history and disclosure events. While much of the information provided in a Snapshot also is available through FINRA BrokerCheck® or the SEC's Investment Adviser Public Disclosure database, a Snapshot contains some additional information such as examination scores, continuing education data and the reason for termination from employment. Learn more about the individual Snapshot Report.
 

Request your Snapshot Report from Web CRD/IARD.

Last Updated: 10/20/2014