Investments glossary

FINRA BrokerCheck

FINRA BrokerCheck is a free, online tool that helps individuals research brokers, brokerage firms, investment adviser firms and advisers. By visiting BrokerCheck, investors can see a variety of information that may be helpful in the selection and vetting of an individual financial advice provider or broker/brokerage firm, such as descriptions, services offered, credentials, sanctions, registrations and more. BrokerCheck is offered and administered by the Financial Industry Regulatory Authority (FINRA), the largest non-governmental securities firm regulator in the United States. The data and information available in BrokerCheck comes mainly from two sources: the Central Registration Depository (CRD), the securities industry online registration and licensing database, provides the broker and brokerage information, while information about investment adviser firms and representatives comes from the Securities and Exchange Commission’s Investment Adviser Registration Depository (IARD) database.

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