BrokerCheck Tool

BrokerCheck is a free tool to research the background and experience of financial brokers, advisers and firms.

Use BrokerCheck to: 

  • Help you make informed choices about brokers and brokerage firms-and provides easy access to investment adviser information.
  • Find out if a person or firm is registered, as required by law, to sell securities (stocks, bonds, mutual funds and more), offer investment advice or both.
  • Get you a snapshot of a broker’s employment history, regulatory actions, and investment-related licensing information, arbitrations and complaints.
Want more information?
– Browse the list of brokers barred by FINRA.
– Check out the new SEC Action Lookup tool for formal actions that the SEC has brought against individuals, including those who are not brokers.
– Go to your state securities regulator to do additional research on brokers and investment advisers.
– BrokerCheck does not have information regarding civil litigation not involving investments, civil protective orders, criminal matters unless they are felonies, or misdemeanors that are investment-related or involve theft or a “breach of trust.” Consider doing an internet search to check for that type of information.