Thursday, December 8, 2022

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Is BrokerCheck legitimate?
FINRA: Another good source of information about brokers and their firms is the BrokerCheck website operated by FINRA, an independent, not-for-profit organization authorized by Congress to protect investors. Some states refer visitors to the FINRA for broker information.
Is BrokerCheck by FINRA legit?
Investors should not rely on BrokerCheck to research brokers until these problems are remedied. While the SEC, FINRA, state regulators and others direct investors to BrokerCheck to research brokers, BrokerCheck is no longer a reliable tool. BrokerCheck records are misleading.
What is a brokerage check?
BrokerCheck gives you a snapshot of a broker's employment history, regulatory actions, and investment-related licensing information, arbitrations and complaints. Want more information?
What is a BrokerCheck report?
A BrokerCheck Report for a brokerage firm contains: A report summary that provides a brief overview of the firm and its background. A firm profile that describes where and when the firm was established, and lists the people and organizations that own controlling shares or directly influence the firm's daily operations.

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