Broker Background Search

Broker Search -- how to locate an agent's securities background:

Click on the following link:

http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/

This will take you to the: FINRA BrokerCheck Terms and Conditions page. Scroll to the bottom of this page and click on the AGREE button.

To Begin Search:

  • Select from the drop down list the item which best describes you. (Typically this will be the first selection: General/Individual Investor
  • Select Individual Broker or Brokerage Firm button in order to begin your search. (If you are looking for a specific individual, select: Individual Broker -- or -- if you want to look up the firm (i.e., Financial Network), select: Brokerage Firm

Individual Broker Search

You may search by one of the following field combinations:
Individual Broker Name & Brokerage Firm

  • 1, 2, and 4 (Last Name, First Name, and Employing Firm Name)
  • 1, 2, and 5 (Last Name, First Name, and Employing Firm CRD#)
  • 1, 3, and 4 (Last Name, Middle Name, and Employing Firm Name)
  • 1, 3, and 5 (Last Name, Middle Name, and Employing Firm CRD#)

Individual Broker Last Name & CRD Number

  • 1 and 6 (Last Name and CRD Number)

After entering data click on the "BEGIN SEARCH FOR INDIVIDUAL BROKER"

Individual Broker Match

Select the name of the individual which matches your query.

Select the document icon in the left frame to view disclosable data about the above listed Individual Broker.