FINRA Broker Check | Check Individual Broker or Brokerage Firms Background

Posted by Grace under Investing on February 3, 2016

FINRA broker check can help you check your broker and brokerage firms background. FINRA BrokerCheck is a useful investment tool for every investors.

FINRA BrokerCheck help investor to check the people or firms that sell stocks, bonds, mutual funds and other types of securities online. If an investor wants to perform a broker background check, you can use FINRA BrokerCheck. A very useful investment tool from FINRAFinancial Industry Regulatory Authority to spot the investment scam easily. Checking simply means determining if a broker is providing quality service, if it is registered, if the broker is really existing or verifying the broker’s license to operate or to sell. Many investors, instead of making some research or investigation about a specific broker or brokerage firm, they use a investment tool as an aid to know more about the broker or brokerage firms. Instead of reading reviews online, why not try to search your broker information using FINRA BrokerCheck.


The benefits of this online broker check is that an investor can get more information about his broker. An investor can also see the brokers’ name employment history, licenses and certifications, violations, regulations, and complaints.

FINRA Broker Check Can Tell

FINRA BrokerCheck can give you an idea about important things related to your broker or to a brokerage firm. It can tell if;

  • if a broker or brokerage firm is registered
  • what has been disclosed to regulators
  • about broker’s experience
  • about what a broker or brokerage firm is able to do.
finra background check tool

Image Courtesy: FINRA – Financial Industry Regulatory Authority | Check Individual Broker or Brokerage Firms Background Onlune

FINRA Broker Check Can’t Tell About

  • FINRA’s opinion of a broker or brokerage firm.
  • how well your money will be managed.
  • info that’s older or from other financial industries.
  • information that FINRA has not received.

How to Use FINRA BrokerCheck Tool

Here is the step by step guide on how to use FINRA BrokerCheck tool;

Step 1. Go to FINRA Official Website

Step 2. Fill out the form such broker name or brokerage firm.

Step 3. Type the zip code.

In few seconds you will get the report or information you want about the stock broker or a investment agent. If there are no results, you might not entered the right information about the broker or brokerage firm. Check the correct spelling of the name, try to enter the complete name of a broker/brokerage firms name. It’s either you entered the CRD number, SEC number or ZIP code incorrectly. If there are no results when performing FINRA BrokerCheck, the individual or firm might not registered with FINRA. Individuals are removed from FINRA BrokerCheck if they have been out of the industry for at least 10 years.

How to check if the broker or brokerage firm is registered in FINRA? Visit the official website of the broker or firms if they indicate that they are a FINRA member. Mostly they indicate it at the footer of their website or trading platforms.

Did you try searching for the information or background about your broker or a brokerage firm? Why not try FINRA broker check before you open an account to a stock broker or to talk to a middle person (agent, broker) today.

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7 comments on “FINRA Broker Check | Check Individual Broker or Brokerage Firms Background

  1. Ella Stock Luv says:

    Hi Grace, thank you for informing us how to investigate our broker and stock brokerage firms easily. Is broker check the only options for background check?


  2. James @ American Investor says:

    Is the information written here applicable to FINRA broker dealer check? Also I want to know if FINRA Broker Check is better than SEC broker check? Are they same?

  3. Laurentia@MileCents says:

    This seems an interesting topic grace, broker check finra is one great way tool to spot investment scam. Thanks for sharing, keep it up.

  4. Howard Allen says:

    fnra broker check is very useful and easy to use. I agree with what you say grace. Nice post about checking the information background of an individual broker or firms.

  5. Investor Pro says:

    Thank you grace for sharing firna broker check website, i liked it, I visited the website, so simple and useful.

  6. Grace | says:

    @ Howard and InvestorPro, it’s FINRA not FNRA or FIRNA. Here is the complete name, FYI only…Financial Industry Regulatory Authority, thanks for dropping by anyway.

  7. Alex @ CentStocks says:

    Hi Grace, may I know how much does it cost to be registered with FINRA? And the procedures, thanks.

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