FINRA BrokerCheck®
Check the Background of Your Investment Professional

BrokerCheck is a free tool to help investors research the professional backgrounds of current and former FINRA-registered brokerage firms and brokers. It should be the first resource investors turn to when choosing whether to do business or continue to do business with a particular broker or brokerage firm.

Through BrokerCheck, investors can:

• Search for both brokers and brokerage firms
• Obtain online delivery of a background report
• View explanatory information to help them better understand the content, context and source of the information provided
• See links to additional resources and tools

BrokerCheck features professional background information on approximately 1.3 million current and former FINRA-registered brokers and 17,000 current and former FINRA-registered brokerage firms.

For a PDF copy of FINRA’s BrokerCheck Brochure, you may go to:

http://www.finra.org/web/groups/industry/@inv/@tools/documents/industry/p009888.pdf

If you have questions or want to request a BrokerCheck report from FINRA, you can:

• Visiting BrokerCheck at www.finra.org/brokercheck;
• Calling the BrokerCheck toll-free Hotline at (800) 289-9999;
• Submitting a request via U.S. mail or fax:
  FINRA BrokerCheck
  P.O. Box 9495
  Gaithersburg, MD 20898-9495
  Fax: (240) 386-4750