Snapshot Reports

Under most circumstances, individuals who are currently registered and certain persons who were formerly registered with a broker-dealer or investment adviser may review information about themselves that is maintained in the Central Registration Depository (Web CRD®) via BrokerCheck®. BrokerCheck includes, among other things, examination, employment, and disclosure information for such individuals. Reports requested through BrokerCheck are available online immediately.

 

Occasionally, a person’s report may not be available through BrokerCheck or an individual may need to review certain information that is maintained in Web CRD but not displayed in BrokerCheck. In these situations, an individual may request a Snapshot Report (Snapshot). A Snapshot contains background information on a person’s securities and/or investment advisory experience and related qualifications; it also includes examinations taken, employment history, and disclosure information. While a BrokerCheck report and a Snapshot will contain much of the same information, a Snapshot provides some information that is not disclosed through BrokerCheck, such as personal identifying information that was reported on a person’s application for registration.  FINRA generally will mail a Snapshot within three to five business days after it receives the request.

 

Active broker-dealer and investment adviser firms may request Snapshots directly from Web CRD for persons associated with their firms.  Accordingly, currently registered individuals may request Snapshots from the licensing or compliance departments of their firms.  Those individuals who are not currently registered may request a Snapshot by completing the Web CRD/IARD Snapshot Request Form.

 

Please note that FINRA will not accept requests for Snapshots from third parties (a requester must be the subject of the Snapshot).

Last Updated: 10/27/2010