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.
 

Request your Snapshot Report from Web CRD/IARD.

Last Updated: 9/8/2014