Every investor in America relies on one thing: fair financial markets. To protect investors and ensure the market’s integrity, FINRA FINANCIAL INDUSTRY REGULATORY AUTHORITY is …

A vibrant market is at its best when it works for everyone. Join the Industry or Take an Exam Register Have Questions or Concerns? Contact Us Look up FINRA Disciplinary Actions …

As a not-for-profit, self-regulatory organization (SRO) with an 85-year history, FINRA’s mission is to protect investors and safeguard the integrity of our vibrant capital markets to ensure that …

Go to your state securities regulator to do additional research on brokers and investment advisers. BrokerCheck does not have information regarding civil litigation not involving investments, civil …

FINRA is here to guide you through the investment process so you can make smart financial decisions. We offer tips to help you manage your personal finances and set sound financial …

View our: Investor Tools | Calculators | Quizzes, Games & Educational Tools Investor Tools FINRA BrokerCheck. Use our free tool to confirm whether investment professionals and firms …

Use the FINRA Fund Analyzer to evaluate funds, share classes, account types, brokerage firms, and platforms in terms of cost and account value.

The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms.Rule 8312, …

2023年11月17日 · BrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors.

BrokerCheck is a free tool from FINRA that can help you research the professional backgrounds of investment professionals, brokerage firms and investment adviser firms.Where …