Financial Industry Networking Directory (FIND) FAQ

Information for Candidates

Information for Broker-Dealer Firms

Information for Candidates

Eligibility

1. Am I automatically signed up for FIND?

No, you must actively opt in to FIND.

2. I did not opt in to FIND when I enrolled for the exam. Can I still opt in?

Yes, you may still opt in through the Test Enrollment Service System (TESS) at any time within your enrollment window and during the four years that your SIE exam is valid.

3. I originally opted in to FIND but now want to opt out. How do I do that?

You can opt out of FIND at any time. To do so, log back in to TESS, click the update profile link and switch the toggle to opt out. If you become a registered person, you are automatically opted out from FIND when you become registered.

4. Why can’t I opt in to FIND?

FIND is currently only available for those individuals who have enrolled to take the SIE exam or have a valid SIE exam, are not registered with a firm, and have not had a firm pay for their SIE exam.

Candidate Information in FIND

5. What information must I provide to participate in FIND?

When you opt in to FIND, the following information you already provided to enroll in the SIE exam is automatically included in FIND.

  • Name
  • Phone Number
  • Email Address

All other information made available to firms through FIND is optionally provided by the candidate. You may provide as much or as little optional information as you choose.

6. What information will FIND share with subscribed firms?

Subscribed firms are only provided with the following candidate information:

  • Name
  • Phone Number
  • Email Address
  • SIE Exam Status – Passed or Not Yet Passed (FIND does not communicate if an individual has failed the SIE. If you have not yet taken or passed the exam, FIND will not indicate any status)
  • SIE Validity Date (the date when the candidate passed the SIE exam and date when the SIE validity will expire)
  • CRD# (if applicable)
  • Any Optional Information Provided: LinkedIn URL, education history, geographic location, relocation willingness/locations, and job preferences

Personal confidential information is not included in FIND.

7. Will FINRA provide my SSN to firms?

No, an individual’s SSN is not included in FIND.

8. Will FINRA provide my mailing address and date of birth to firms?

No, mailing addresses are not included in FIND.

Information Use

9. In what other ways will FINRA use the information I have provided?

FINRA will not distribute the information to third parties beyond the specific uses that you have granted. At this time, by opting in to FIND, you have only authorized distribution for the purpose of providing lists for potential employment and contracting with broker-dealer firms. FINRA may use your information in an anonymous manner for research on qualification exam performance and distribution of performance on an aggregate basis.

10. Can I have my information removed from FIND?

Yes, at any time you may log in to TESS and opt out of FIND.

Note: FINRA can only remove information from future FIND data distribution. Candidate information may have already been distributed to a firm during the period within which they had opted in to FIND.

11. How do I know who has received my information?

Your information is distributed to all subscribed firms.

12. I am choosing to opt out of FIND or not to participate. Can firms still validate that I have passed the SIE exam?

Firms have the ability to use a separate service to validate an individual's SIE status. To use this service, the firm must receive written consent from the individual they are recruiting.

Automatically Opted Out

13. Why was I automatically opted out of FIND?

A candidate can be automatically opted out of FIND, most commonly because the candidate has obtained a securities registration with a firm, they no longer have an open enrollment or their SIE exam validity has expired.

14. Will I be notified if I am automatically opted out of FIND?

Yes, if you are automatically opted out of FIND, you will receive an email from FINRA to the email on file.

Fees for Candidates

15. How much does it cost for an individual to participate in FIND?

There is no fee for an individual to opt in to FIND.

Contacts

16. Who can I contact for help?

The FIND team is available via email and will follow up within two business days.

Information for Financial Services Firms

17. How can my firm use FIND?

Firms interested in FIND should complete this interest form. The FIND team will follow up within two business days.

18. Are there any eligibility requirements for firms?

At this time, only registered broker-dealer firms can use FIND. Participating broker-dealer firms must also agree to the FIND Terms and Conditions.