FINRA BrokerCheck

Nobody gets excited about background checks until they discover their financial advisor has a sketchy past. Whether you're an employer trying to avoid hiring the next Bernie Madoff or an investor doing your due diligence, FINRA BrokerCheck is like having a financial industry detective at your fingertips.

FINRA BrokerCheck is a tool that provides information on the background and disciplinary history of securities industry professionals, including brokers, investment advisers, and firms. At CI, we take the headache out of navigating FINRA's massive database of over 600,000 registered representatives. Think of us as your professional dirt-diggers (the legal kind, of course). We know exactly where to look and what red flags mean your candidate might be better suited for a career change than handling other people's money.

Our expertise in FINRA BrokerCheck verification means you get thorough, accurate results without drowning in regulatory jargon or missing critical details. Because in the end, wouldn't you rather know about potential issues before they become your problem?

BrokerCheck is designed to help investors make informed decisions about whom to do business with. You can also use FINRA BrokerCheck to conduct background checks on potential employees who will be working in the securities industry. This can help you protect clients, comply with regulations, and make more informed hiring decisions.

CI’s FINRA BrokerCheck search is able to obtain the broker's employment history, any regulatory actions taken, investment-related licensing information, arbitration, and complaints filed against the broker, and whether the broker has been barred from the securities industry. If you are considering hiring a financial adviser, be sure to use FINRA BrokerCheck to conduct a background check.