Ask and Check

Ask & Check

How Can the Securities Division Help Me?

Contact the Commission's Securities Division to inquire about the license status and possible disciplinary history of the securities salesperson or investment adviser--even if it's with someone you know and trust.

Check your broker's background.

Use the CRD (Central Registration Depository) number to look up a broker or brokerage firm.

Visit
FINRA's BrokerCheck
for free background and license information - searches are confidential.
For investment advisors, use the
Investment Adviser Public Disclosure
(IAPD) database.
Review public disclosures for both the individual and the firm, as companies may have legal actions or disciplinary history.

Your search is free, fast, and confidential.

Protect Yourself as an Investor

Resolve Disputes

Learn how to prevent and settle a disputes through FINRA's Investor Guide to Securities Industry Disputes, including how arbitration and mediation work.

Check a Professional

Find out what details you can obtain from a CRD/IARD report when researching an investment professional by reviewing our ask and check guide.

Know the Difference

Understand the roles of a stockbroker, investment advisor, and financial planner and their obligations to you as a client. See different roles of financial services providers for more information.

Verify Registration

Before trading in commodities, forex, or derivatives, confirm that the person or firm is registered with the Commodities Future Trade Commission (CFTC) using the BASIC (Background Affiliation Status Center) database.