FINRA Related Sites

The Central Registration Depository (or “CRD”) is a computerized database that contains information about most brokers, their representatives, and the firms they work for. For instance, you can find out if brokers are properly licensed in your state and if they have had run-ins with regulators or received serious complaints from investors. You’ll also find information about the brokers’ educational backgrounds and where they’ve worked before their current jobs.

You can ask either your state securities regulator or Financial Industry Regulatory Authority (FINRA) to provide you with information from the CRD. Your state securities regulator may provide more information from the CRD than FINRA, especially when it comes to investor complaints, so you may want to check the FINRA broker check page first. You can find out how to get in touch with your state securities regulator through the website. You can go to FINRA’s website to get CRD information or call them toll-free at (800) 289-9999.

Investment Adviser Public Disclosure (IAPD) provides information about current and certain former Investment Adviser Representatives, Investment Adviser firms registered with the SEC and/or state securities regulators, and Exempt Reporting Advisers that file reports with the SEC and/or state securities regulators. IAPD also provides links to FINRA’s BrokerCheck system which contains information about Brokerage firms and Registered Representatives of Brokerage firms.

SEC Investment Adviser Public Disclosure can be found here.

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