BrokerCheck Search Help

How to Search BrokerCheck

You may search for an individual or firm by name, CRD/SEC Number, employing firm (individual searches only), or zip code.

 

If Your Search Returned Too Many Results

If your search returns a large number of results, you can narrow the search results you get by adding one or more of the search criteria noted above.

 

If Your Search Came Back as "No Search Results"

There could be a number of reasons the firm or individual you are looking for is not listed:

  • The name of the firm or individual you are searching for is misspelled. Refine your search by entering only part of the name of the individual or firm.
  • The CRD number, SEC number or zip code is incorrect or invalid. Make sure that you have entered the correct information or try using different criteria for your search.
  • The employing firm’s name is misspelled or the individual never worked at that firm.
  • The individual is not included in BrokerCheck or the Securities and Exchange Commission’s Investment Adviser Public Disclosure database because he or she:
    • is not currently registered with FINRA or a state securities regulator or has not been so registered within the last 10 years, or
    • has not been registered with FINRA or a state securities regulator within the last 10 years and either:
      1. is not the subject of a final regulatory action;
      2. has not been convicted of or pled guilty or no contest to certain crimes;
      3. has not been subject to a civil injunction involving investment-related activity or been found in a civil court to have been involved in a violation of investment-related statutes or regulations; or
      4. has not been named as a respondent or defendant in an arbitration or civil litigation in which he or she was alleged to have committed a sales practice violation, and which resulted in an award or civil judgment against the individual.
  • The investment adviser firm is not within scope for the Securities and Exchange Commission’s Investment Adviser Public Disclosure database because the firm is not currently registered with the SEC and/or a state securities regulator or been so registered within the last 10 years.

 

If you are still not able to find the individual or firm for which you are searching, please call the FINRA BrokerCheck Hotline at (800) 289-9999 to speak with a representative.