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FINRA enables investors and firms to participate in the market with confidence by safeguarding its integrity. We deploy deep expertise, leading technology and extensive market intelligence to serve as the first line of oversight for the brokerage industry - all at no cost to taxpayers.

We are a not-for-profit organization that – working under the supervision of the SEC – actively engages with and provides essential tools for investors, member firms and policymakers. Because of these deep relationships and together with our stakeholders, we work towards finding common solutions to create a regulatory environment that promotes collaboration, innovation, and fairness. We do this so that investors are safe, while having the opportunity to participate in America’s capital markets.

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BrokerCheck is a free tool to research the background and experience of financial brokers, advisers and firms.

By clicking on a match or otherwise using BrokerCheck® I agree to BrokerCheck® Terms of Use.

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As the world changes around us, two things keep us grounded: our values and our mission.

In an unprecedented time of volatility, we remain as committed as ever to protecting investors and maintaining market integrity. Though we may be working in new ways, and with new challenges, our dedication to achieving our mission has not changed.

 
 


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*Based on FINRA processing an average of 67 billion electronic records per day. 

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