Thursday, December 1, 2022

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People also ask:

What is a broker's check?
A BrokerCheck report for a broker who is currently registered with FINRA or a national securities exchange, or who has been registered within the last 10 years, contains: A report summary that provides a brief overview of the broker and his or her credentials.
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.
How do I get a BrokerCheck?
Visit FINRA BrokerCheck or call FINRA at (800) 289-9999. Or, visit the SEC's Investment Adviser Public Disclosure (IAPD) website. Also, contact your state securities regulator. Check SEC Action Lookup tool for formal actions that the SEC has brought against individuals.
What is a broker SEC?
Section 3(4) of the Act defines "broker" broadly as: any person engaged in the business of effecting transactions in securities for the account of others.... The term "person" includes entities as well as individuals. Unlike a broker who acts as agent, a dealer acts as principal.