How do I find my broker?
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.
How do I find a stock broker?
Find a broker Use the Australian Securities Exchange (ASX) find a stockbroker tool to locate a broker that suits your needs.
What is BrokerCheck used for?
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.
Where can I check a broker's license?
Information on brokers is available from the Financial Industry Regulatory Authority's (FINRA) BrokerCheck website.