- FINRA BrokerCheck is a free online
tool to help investors check the professional background of current and
former FINRA-registered securities firms and brokers. It should be the
first resource investors turn to when choosing whether to do business
with a particular broker or brokerage firm.
- The Financial Industry Regulatory
Authority (FINRA), is the largest non-governmental regulator for all
securities firms doing business with the United States public. All
told, FINRA oversees nearly 5,100 brokerage firms, about 173,000 branch
offices and more than 665,000 registered securities representatives.