BrokerCheck Search Help

You may search BrokerCheck for an individual or firm by name, CRD/SEC number, employing firm (individual searches only) or zip code.

If Your Search Returned Too Many Results

You can narrow the search results you get by adding one or more of the search criteria noted above.

To limit the results you get when searching by zip code, try decreasing the search radius of the zip code search or adding an additional search criterion such as the name or CRD number of the firm or individual you are checking.

If Your Search Came Back as “No Search Results”

There could be a number of reasons the firm or individual you are looking for is not listed:

The name of the firm or individual you are searching for is misspelled. Refine your search by entering only part of the name of the individual or firm.
The CRD number, SEC number or zip code is incorrect or invalid. Make sure that you have entered the correct information or try using different criteria for your search.
The employing firm’s name is misspelled, or the individual never worked at that firm.
The individual is not included in BrokerCheck or the Securities and Exchange Commission’s (SEC's) Investment Adviser Public Disclosure database because they:
- are not currently registered with FINRA, a national securities exchange or a state securities regulator, or
- have not been registered with FINRA, a national securities exchange or a state securities regulator within the last 10 years and do not meet one or more of the criteria that would continue to include them in BrokerCheck.
The investment adviser firm is not within scope for the SEC’s Investment Adviser Public Disclosure database because the firm is not currently registered with the SEC and/or a state securities regulator or been so registered within the last 10 years.