How do I search for a broker or firm?
- Go to BrokerCheck using the official FINRA address above. Choose the individual or firm search.
- Enter the person’s or firm’s name. If you have it, search by the CRD number (FINRA’s Central Registration Depository identifier); firm records may also list an SEC number. Names can match more than one record, so compare locations, associated firms, and other identifying details.
- Open the matching profile or report. For a person, check current registration and the firm shown there; then open the firm’s own record and compare its legal name and contact details with the information you were given.
- Read the full report, including qualifications, registration and employment history, and each disclosure event. Follow links to the SEC’s Investment Adviser Public Disclosure (IAPD) database or state regulator when you need adviser or state-level information.
What should I look for in a BrokerCheck report?
Registration and qualifications show registration categories, jurisdictions, and reported exams or professional credentials. A past exam or a profile alone does not establish that a person is currently authorized for a particular activity; check current registration and the associated firm.
Employment and registration history show reported firms and dates. FINRA’s report guidance says individual employment history may cover up to 10 years and may not be updated after a broker stops being registered, so a “Present” date may not mean the person still works there. Confirm present affiliation directly with the firm.
Disclosure events can include regulatory actions, customer disputes, arbitrations, or other reportable matters. Read the event’s source, status, allegations, and resolution rather than treating a summary count as a conclusion. FINRA cautions that some reported actions or allegations may be pending, contested, unresolved, or unproven, and may later be resolved in the professional’s favor. A disclosure is not by itself a complete assessment of a person or firm.
What does BrokerCheck not tell me?
BrokerCheck has a defined scope; it does not include every type of court, criminal, or consumer record. For investment adviser registration details, use the linked IAPD record or search IAPD directly. A state securities regulator may hold additional information. Reach the regulator through its official website when checking an identity or report.
If someone sends you a report or asks you to use a link, independently type the official BrokerCheck address and search for the record yourself. Compare the report with the live record and contact the firm using independently verified details before sharing money or personal information.
Sources and date
Accessed 2026-11-03: FINRA BrokerCheck provides individual and firm searches; FINRA’s About BrokerCheck and report guidance describes report contents, data sources, updates, and the limits of disclosure entries; FINRA’s investor guide to working with financial professionals recommends reviewing a person’s current firm and its relationship summary.
Frequently asked questions
Can I search with a CRD number?
Yes. BrokerCheck supports a name or CRD-number search for individuals and firms. A number can help distinguish people or firms with similar names.
Does a disclosure mean the person was found guilty?
Not necessarily. Review the event’s reported source, status, and outcome. FINRA says reports may include pending or contested allegations that are unresolved or unproven.
Does a clean search prove a person is trustworthy?
No. BrokerCheck is one research source with a defined scope. Verify current registration and firm identity, and consult IAPD or the relevant state regulator when appropriate.