BrokerCheck is a free tool to help investors research the professional backgrounds of brokerage firms and brokers currently or formerly registered with FINRA or a national securities exchange, as well as current or former investment adviser firms and representatives. BrokerCheck information is drawn from filings by regulators, firms and investment professionals. It includes current licensing status and history, employment history and, if any, reported regulatory, customer dispute, criminal and other matters. It should be the first resource investors turn to when choosing whether to do business or continue to do business with a particular firm or individual.

Through BrokerCheck, investors can:

• Search for information about brokers and brokerage firms
• Search for information about investment adviser firms and representatives
• Obtain online background reports, if available
• Link to additional resources such as educational tools for investors

The information about brokers and brokerage firms made available through BrokerCheck is derived from the Central Registration Depository (CRD ), the securities industry online registration and licensing database. Information in CRD is obtained through forms that brokers, brokerage firms and regulators complete as part of the securities industry registration and licensing process. BrokerCheck features professional background information on approximately 1.3 million current and former registered brokers and approximately 21,000 current and former registered brokerage firms.

The information about investment adviser firms and representatives made available through BrokerCheck is derived from the Securities and Exchange Commissions Investment Adviser Public Disclosure (IAPD) database. IAPD features professional background information on approximately 441,000 current and former investment adviser representatives and 45,700 current and former investment adviser firms. More detailed information about these firms and representatives can be obtained via the provided hyperlinks to the IAPD website.

For questions regarding BrokerCheck:

• call toll-free (800) 289-9999 Monday through Friday from 8 a.m. — 8 p.m. Eastern Time, or
• email us

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