SearchBrokerCheck

How to use SearchBrokerCheck

SearchBrokerCheck is the Fintel name for a FINRA BrokerCheck person search. Agents call it to find a broker or adviser by name and to get a CRD. This page searches the adviser records stored here, which come from investment-adviser filings. It is not the FINRA website. After you find a person, confirm that CRD on BrokerCheck.

Type this

1. Type the start of the person name. The example is Jane Smith.
2. Use the person name, not the broker-dealer name. Firm names go to SearchBrokerCheckFirm.
3. Press Look up. Open each adviser page that could match. Read the employer.
4. Copy the person CRD.
5. Open GetBrokerCheckDetail with that CRD when the agent called the detail tool.

Prefix rules apply. The stored name must start with your text. A common name needs the employer as the tie-break. If the list is empty, the person may be a broker with no investment-adviser filing in this directory. BrokerCheck is the place that can still have that record.

Read the result

A hit means we have an adviser row for that name. It does not mean FINRA shows the same disclosures. Read the adviser page, then open BrokerCheck for the employment history, exams, and disclosure detail. If the person is an investment adviser representative, also run SearchIAPDIndividual or open GetIAPDIndividualDetail with the same CRD.

Use this next

• GetBrokerCheckDetail for the person CRD.
• adv_search_individual for the same person under the SEC ADV tool name.
• SearchBrokerCheckFirm for the employer as a firm.
• RIA versus broker so you know which file you are reading.

Do not do this

• Do not treat this page as BrokerCheck. The confirm step is the FINRA site.
• Do not type a CRD here. Use GetBrokerCheckDetail.
• Do not use a ZIP. Place search is search by city or ZIP. Registration steps are in how to check an adviser registration.

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.