How to use GetBrokerCheckDetail
GetBrokerCheckDetail is the Fintel name for one BrokerCheck person, opened by CRD. The agent should already have that number from SearchBrokerCheck. This page opens the adviser record we store for that person CRD. It is not the FINRA profile. Confirm the same number on BrokerCheck.
Type this
- Copy the person CRD from the name search. The example is
2144241. - Type the digits. Letters around them are ignored.
- Press Look up and open the adviser page.
- Read the name and the employing firm. If the name is wrong, the CRD came from the wrong search row.
- Open BrokerCheck with the same CRD for exams, disclosures, and broker employment history.
The match is exact and it is a person match. A firm CRD will not open a firm here. Firm numbers go to GetIAPDFirmDetail or adv_firm_profile. The same person CRD on the IAPD detail tool is GetIAPDIndividualDetail.
Read the result
You get the person record in this directory: name, CRD, and firm link when we have one. BrokerCheck can show a broker who has no adviser filing here. An empty result on this page means we do not have that person CRD. It does not mean FINRA has no record. Check BrokerCheck before you tell someone the person is missing.
When the person is an adviser, read the firm filing next. Start from the employer link, or search the firm with SearchBrokerCheckFirm or adv_search_firm.
Use this next
- SearchBrokerCheck when you have a name and this number failed.
- GetIAPDIndividualDetail for the same person CRD under the IAPD tool name.
- SearchIAPDFirm for the employer as an advisory firm.
- How to read Item 11 when the question is disclosures on the advisory firm.
Do not do this
- Do not start with this page when you only have a name.
- Do not describe the result as a FINRA BrokerCheck report. Say it is the adviser record on this site, then link BrokerCheck.
- Do not skip the registration read. Use how to check an adviser registration and RIA versus broker.
Every tool page
- All agent tool lookups
- adv_search_firm
- adv_firm_profile
- adv_search_individual
- SearchIAPDFirm
- GetIAPDFirmDetail
- SearchIAPDIndividual
- GetIAPDIndividualDetail
- SearchBrokerCheck
- SearchBrokerCheckFirm
- GetBrokerCheckDetail
After the record opens
- Search by city or ZIP when you have a place and no name.
- What is Form ADV?
- How to check an adviser registration
- RIA versus broker
- Form ADV field guide
- SEC IAPD to confirm the same CRD on the regulator site.