FINRA BrokerCheck

Investment Adviser Verification

FINRA BrokerCheck is a tool that provides information on the background and disciplinary history of securities industry professionals, including brokers, investment advisers, and firms.

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.

Discover More with Commercial Investigations

Access public disclosure information about investment advisers registered with the SEC.

Access filings and disclosures from the EDGAR system to help make informed decisions.

Navigate Financial Compliance with Precision

Gain insights into candidates' financial backgrounds with precision and reliability. Our suite of Financial Information inquiries equips you with the tools needed to assess risk, ensure financial stability, and make informed hiring decisions.