Investors can search both the BrokerCheck and Investment Adviser Public Disclosure (IAPD) record of any securities professional or firm directly on FINRA’s website. Search results are given in a timeline, a more user-friendly view of an industry professional’s employment status and history, industry registrations and any reportable events, such as customer disputes or disciplinary actions. Investors can obtain information about, and the disciplinary record of, any FINRA-registered broker or brokerage firm.
FINRA will make the new BrokerCheck widget available to third-party websites, giving visitors to those sites direct access to securities professionals’ or firms’ BrokerCheck or IAPD reports without visiting the FINRA or Securities and Exchange Commission (SEC) sites.
BrokerCheck is free of charge. In 2012, members of the public used the service to conduct 14.6 million reviews of broker or firm records.
Investors can access BrokerCheck at www.finra.org/brokercheck or by calling (800) 289-9999.