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Individual Registration and Licensing Information

Individuals who are or have been registered as a broker or investment adviser representative can now access their registration and licensing information via the Financial Professional Gateway. This site contains information reported about an individual, including qualifications, employment history and disclosure events. While much of the information provided is also available through BrokerCheck® or the SEC's Investment Adviser Public Disclosure database, the Financial Professional Gateway contains some additional information such as examination scores, continuing education data and the reason for termination from employment.

To view your record please log in to the Financial Professional Gateway or register to create your Financial Professional Gateway account.

Please contact the FINRA Gateway Call Center at (240) 386-4040 if you have any questions or require additional assistance.

Note: Individuals who do not possess a US Social Security Number (SSN) are not currently able to create a Financial Professional Gateway account. Please contact the FINRA Gateway Call Center at (240) 386-4040 to request a hard copy Snapshot Report.