The Options Industry Council (OIC) BrokerCheck: Research Brokers & Investment Advisers. BrokerCheck is a free tool to help investors research the professional backgrounds of current and former FINRA-registered brokerage firms and brokers, as well as investment adviser firms and representatives. BrokerCheck information is drawn from filings by regulators, firms and investment professionals.
It includes current licensing status and history, employment history and, if any, reported regulatory, customer dispute, criminal and other matters. It should be the first resource investors turn to when choosing whether to do business or continue to do business with a particular firm or individual. Through BrokerCheck, investors can: Search for information about brokers and brokerage firmsSearch for information about investment adviser firms and representativesObtain online background reports, if availableLink to additional resources such as educational tools for investors For questions regarding BrokerCheck: To access BrokerCheck, your browser must have cookies enabled.
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