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Wednesday, May 16, 2012

FINRA Enhances Investment Broker Lookup Tool

The Financial Industry Regulatory Authority (FINRA) today announced that it has added features to BrokerCheck to help users more easily access broker-dealer and investment adviser registration information.

With the latest improvements, users now have:
  • centralized access to licensing and registration information on current and former brokers and brokerage firms, and investment adviser representatives and investment adviser firms;
  • the ability to search for and locate a financial services professional based on main office and branch locations, and the ability to conduct ZIP code radius searches (in increments of 5, 15 or 25 miles); and
  • access to expanded educational content available on BrokerCheck, including new help icons that clarify commonly referenced terms throughout the system and within BrokerCheck reports.
Investors can obtain more information about, and the disciplinary record of, any FINRA-registered broker or brokerage firm by using FINRA's BrokerCheck at or by calling (800) 289-9999.