BrokerCheck
E22977
BrokerCheck is an online tool that provides background information on brokerage firms and financial advisors to help investors research their professional history and regulatory records.
All labels observed (2)
| Label | Occurrences |
|---|---|
| BrokerCheck canonical | 3 |
| BrokerCheck system | 1 |
Statements (48)
| Predicate | Object |
|---|---|
| instanceOf |
investor protection resource
ⓘ
online tool ⓘ |
| abbreviation | CRD system as underlying database ⓘ |
| accessMode | online ⓘ |
| availableAs | website ⓘ |
| cost | free of charge to the public ⓘ |
| country |
United States of America
ⓘ
surface form:
United States
|
| dataSource |
Central Registration Depository
ⓘ
surface form:
FINRA Central Registration Depository
|
| goal |
assist investors in choosing financial professionals
ⓘ
help investors avoid fraud and misconduct ⓘ increase transparency in the brokerage industry ⓘ |
| hasFeature |
detailed disclosure information
ⓘ
downloadable or printable reports on brokers and firms ⓘ summary report of a broker’s background ⓘ |
| hasSearchFeature |
search by CRD number
ⓘ
search by firm name ⓘ search by individual name ⓘ |
| industry | financial services regulation ⓘ |
| language | English ⓘ |
| legalBasis |
FINRA rules
ⓘ
Securities Exchange Act of 1934 authority over broker-dealers ⓘ |
| maintainedBy | FINRA ⓘ |
| operator |
FINRA
ⓘ
Financial Industry Regulatory Authority ⓘ |
| primaryPurpose |
help investors research professional history and regulatory records
ⓘ
provide background information on brokerage firms and financial advisors ⓘ |
| providesInformationOn |
criminal events related to securities activities
ⓘ
customer disputes ⓘ disciplinary history ⓘ employment history of brokers ⓘ exams passed by brokers ⓘ licensing status of brokers ⓘ professional qualifications of brokers ⓘ regulatory events ⓘ |
| regulatoryScope |
FINRA disciplinary actions
ⓘ
SEC regulatory actions ⓘ state securities regulator actions ⓘ |
| regulatoryStatus | regulated information service ⓘ |
| subjectOfInformation |
FINRA-registered firms
ⓘ
SEC-registered investment advisers (via links to IAPD) ⓘ broker-dealer firms ⓘ brokerage firms ⓘ individual brokers ⓘ investment adviser representatives ⓘ registered representatives ⓘ |
| targetUser |
financial consumers
ⓘ
individual investors ⓘ |
| url | https://brokercheck.finra.org ⓘ |
Referenced by (4)
Full triples — surface form annotated when it differs from this entity's canonical label.