FINRA Broker Check

FINRA Broker Background Check Tool

Completing due diligence on a registered broker in the hedge fund industry?

FINRA offers investors a free online background check service of FINRA-registered securities firms and brokers. The FINRA BrokerCheck includes search capabilities for both a broker and brokerage firm, online delivery of the report, an explanation to help investors understand the information provided, and links to additional resources. BrokerCheck provides background information on an estimated 677,00 currently registered brokers and almost 5,000 currently registered securities firms. Also listed is an online collection of information about Investment Adviser firms that are regulated by the Securities and Exchange Commission.

- Richard

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