Thursday, December 8, 2022

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finra.org/broker check

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People also ask:

How do I check if someone is registered with FINRA?
Visit FINRA BrokerCheck or call FINRA at (800) 289-9999....If you don't find the person in FINRA BrokerCheck (your search comes back as “No Search Results”), it can mean:
  • is not the subject of a final regulatory action;
  • has not been convicted of or pled guilty or no contest to certain crimes;
  • 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 you know if a broker is legit?
    You can find out if brokers are licensed in your state, if they've had run-ins with regulators or received serious complaints from investors. Go to finra.org/investors and click on "FINRA BrokerCheck." Or call 1-800-289-9999.
    What is FINRA BrokerCheck?
    BrokerCheck is a free tool from FINRA that can help you research the professional backgrounds of brokers and brokerage firms, as well as investment adviser firms and advisers.