BrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors.

Find out if your broker or investment professional is licensed and registered using this free search tool available on Investor.gov. Always check out both the person as well as the firm.

Investment Adviser Public Disclosure (IAPD), This search tool enables you to check out SEC- and state-registered investment adviser firms and the individuals who work for them.

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 …

The information about brokerage firms and associated registered investment professionals that you find in BrokerCheck comes from the Central Registration Depository (CRD®), which is the …

BrokerCheck tells you instantly whether a person or firm is registered, as required by law, to sell securities (stocks, bonds, mutual funds, and more), offer investment advice, or both.

Oct 2, 2025 · Learn what a broker-dealer is, how it acts as both agent and principal, and its role in securities transactions. Discover the types and functions in U.S. finance.

The SEC requires two types of firms to provide relationship summaries: broker-dealers (brokers) and investment advisers (advisers). Both brokers and advisers can give you advice about …

Using BrokerCheck, you can search for a brokerage firm or individual broker by name or registration number, and link to state regulators’ websites.

You may search BrokerCheck for an individual or firm by name, CRD/SEC number, employing firm (individual searches only) or zip code. You can narrow the search results you get by …