Thursday, December 1, 2022

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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;
  • 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 and click on "FINRA BrokerCheck." Or call 1-800-289-9999.
    How long is my Series 7 GOOD FOR?
    The Series 7 license is good for the entire period that you work for a FINRA-member firm or self-regulatory organization (SRO). It only expires if you are terminated or leave a firm and do not find employment within two years at another FINRA-member firm or SRO.
    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.