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BrokerCheck - Find a broker, investment or financial advisor
https://brokercheck.finra.org/
WEBBrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors.
DA: 55 PA: 51 MOZ Rank: 33
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BrokerCheck - Find a broker, investment or financial advisor
https://brokercheck.finra.org/firm/
WEBBrokerCheck - Find a broker, investment or financial advisor. BrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors.
DA: 45 PA: 9 MOZ Rank: 56
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BrokerCheck - Find a broker, investment or financial advisor
https://brokercheck.finra.org/Firm/Summary/8032
WEBThe content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms.Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here.. State regulators are governed by their public …
DA: 59 PA: 70 MOZ Rank: 65
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Central Registration Depository (CRD) | FINRA.org
https://www.finra.org/registration-exams-ce/classic-crd
WEBThe CRD program covers the registration records of broker-dealer firms, branch offices and their associated individuals, including their qualification, employment and disclosure histories; it also directs the processing of form filings, fingerprint submissions, collection and disbursement of registration-related fees, qualification exams and ...
DA: 42 PA: 13 MOZ Rank: 96
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BrokerCheck Search Help | FINRA.org
https://www.finra.org/investors/investing/working-with-investment-professional/about-brokercheck/search-help
WEBYou may search BrokerCheck for an individual or firm by name, CRD/SEC number, employing firm (individual searches only) or zip code. If Your Search Returned Too Many Results. You can narrow the search results you get by adding one or more of the search criteria noted above.
DA: 89 PA: 74 MOZ Rank: 88
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About BrokerCheck | FINRA.org
https://www.finra.org/investors/investing/working-with-investment-professional/about-brokercheck
WEBThe information about brokerage firms and associated registered investment professionals that you find in BrokerCheck comes from the Central Registration Depository (CRD®), which is the securities industry online registration and licensing database. Information in CRD is obtained through forms that investment professionals, brokerage firms and ...
DA: 17 PA: 76 MOZ Rank: 46
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IAPD - Investment Adviser Public Disclosure - Homepage
https://adviserinfo.sec.gov/Firm/CRD_NUMBER
WEBFor a complete compilation of Investment Adviser Firms currently registered with the SEC and states securities regulators, download the Investment Adviser Data.. You can search for an Investment Adviser firm on this website and view the registration or reporting form ("Form ADV") that the adviser filed. This website will also search FINRA's BrokerCheck …
DA: 86 PA: 49 MOZ Rank: 70
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Checking Out a Brokerage Firm, Individual Broker, Investment …
https://www.sec.gov/fast-answers/answerscrd
WEBFeb 14, 2012 · Check the adviser’s registration status. View the adviser’s current disclosures made through its Form ADV filing. Link to a state regulator’s website. Link to the FINRA BrokerCheck website. Investment adviser firms that have not registered with the SEC electronically will not appear on the IAPD page.
DA: 50 PA: 72 MOZ Rank: 40
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What Is FINRA's Central Registration Depository (CRD)? - Investopedia
https://www.investopedia.com/terms/c/crd.asp
WEBNov 29, 2020 · Central Registration Depository (CRD): The Central Registration Depository (CRD) is a database maintained by FINRA for all firms and individuals involved in the U.S. securities industry. It is ...
DA: 70 PA: 41 MOZ Rank: 28
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Using BrokerCheck | Investor.gov
https://www.investor.gov/introduction-investing/getting-started/working-investment-professional/using-brokercheck
WEBYou can search the FINRA Disciplinary Actions Online by individual name, firm name, case number, date range, document type, document text, or CRD number. Results will include opinions issued by the SEC and federal appellate courts that relate to FINRA disciplinary actions that have been appealed.
DA: 51 PA: 59 MOZ Rank: 39
