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How Do You Use FINRA BrokerCheck?

Learn how to use FINRA BrokerCheck to research a broker or firm, spot disciplinary history, and understand when Investor.gov may send you to BrokerCheck or IAPD.

Direct answer

To use FINRA BrokerCheck, search the broker, adviser, or firm by name and review the registration, employment, disclosure, and disciplinary information available in the report. If the person or firm is primarily an investment adviser, you may also need to use IAPD.

broker, adviser, or firm name + BrokerCheck search = background report

What to review in BrokerCheck

Registration

Shows licensing status

Inactive or missing registration

Firm history

Shows employment path

Frequent unexplained moves

Disclosures

Flags issues

Customer disputes or discipline

Name match

Avoids wrong person

Middle name, CRD number

IAPD link

Adviser records may differ

Use the right database

Area	Why it matters	Watch for
Registration	Shows licensing status	Inactive or missing registration
Firm history	Shows employment path	Frequent unexplained moves
Disclosures	Flags issues	Customer disputes or discipline
Name match	Avoids wrong person	Middle name, CRD number
IAPD link	Adviser records may differ	Use the right database

BrokerCheck is one tool, not the only check

BrokerCheck is a core public lookup tool, but adviser-focused records may route through IAPD. Review both systems when a professional acts as both a broker and adviser.

Use BrokerCheck

1Open FINRA BrokerCheck.
2Search by individual or firm name, and use identifying details when possible.
3Open the matching report and review registration, employment, and disclosures.
4Follow IAPD links or Investor.gov guidance when adviser records are involved.
5Pause before investing if registration is missing or disclosures raise concerns.

FAQ

Is BrokerCheck free?

Yes. FINRA provides BrokerCheck as a free public tool for researching brokers, investment adviser representatives, brokerage firms, and advisory firms.

Can I use BrokerCheck for firms and people?

Yes. BrokerCheck can search both individuals and firms, though some investment adviser records may route users to IAPD.

Does BrokerCheck show disciplinary history?

BrokerCheck reports can include registration, employment, disclosure, and disciplinary information when available.

Sources & method

We reviewed these references while writing this answer. Figures are estimates — confirm safety-critical work with a professional. Last updated June 7, 2026.