FINRA

Stockbrokers are required to be licensed by the Financial Industry Regulatory Authority (FINRA) in order to sell securities. FINRA maintains records on each broker and brokerage firm. These records, which are freely available to the public, track the employment history, regulatory violations, licensing history and any customer complaints for every broker... This site is provided as a public service by Robert H. Rex, a securities lawyer at Rex Securities Law. We have been helping investors nationwide and beyond, recover stock market and investment losses for 25 years... The financial industry regulatory authority , FINRA, maintains a website where the public can access the employment, regulatory and disciplinary matters involving stockbrokers and brokerage firms. This information is maintained on a document known as a CRD (Central Registration Depository) and freely available to the investing public.

Primary location: Boca Raton United States