Julia Kagan is a financial/consumer journalist and former senior editor, personal finance, of Investopedia. Thomas J Catalano is a CFP and Registered Investment Adviser with the state of South ...

The Financial Industry Regulatory Authority (FINRA) maintains a free and easy(ish) way to access records on people who work as brokers and investment advisers. It's called BrokerCheck. But it's not ...

BrokerCheck is an online tool provided by the Financial Industry Regulatory Authority (FINRA) that enables investors to research the professional backgrounds of brokers and brokerage firms. The ...

As part of your due diligence, conduct a thorough background check before choosing a financial advisor to manage your investments, retirement or estate planning. After all, you don't want to hand over ...

Discover how FINRA's Central Registration Depository (CRD) ensures transparency in the U.S. securities industry by providing vital data on firms and individuals.

FINRA has quietly and quickly won approval for a rule that lets brokers keep their private addresses off the online BrokerCheck database with a simple check of a box. Processing Content With the lapse ...

BrokerCheck provides detailed backgrounds on financial advisors and their firms. It includes advisors' registration, employment history, and any disciplinary actions. Using BrokerCheck does not alert ...

For instance, some argue that it would be unfair to disclose these scores on BrokerCheck because brokers took the tests trying to pass rather than to get a high score. But exam scores have always been ...

The changes come as BrokerCheck has grown in popularity, Mr. Lisker said. In 2013, individuals found a broker from a search request almost 16.5 million times, a number that rose to 18.9 million last ...

While impersonation scams are certainly not new, there are surprising new variants every day. In a February 2021 report, FINRA observed an increase in cyber-related incidents, including fraudsters ...