SearchBrokerCheckFirm

How to use SearchBrokerCheckFirm

SearchBrokerCheckFirm is the Fintel name for a BrokerCheck firm search. The agent has a broker-dealer name and wants the firm CRD. This page searches firm records in this directory. Those records are investment-adviser filings. A broker-dealer that is not an RIA can be missing here. Confirm the firm on FINRA BrokerCheck.

Type this

1. Type the start of the firm name. The example is Morgan Stanley.
2. Use the firm name, not a representative's name. People go to SearchBrokerCheck.
3. Press Look up. Open the firm page and read the legal name and the city.
4. Copy the firm CRD from that page.
5. If the firm is also an RIA and the agent wants the ADV detail, open GetIAPDFirmDetail or adv_firm_profile with that CRD.

Prefix match: Morgan finds firms whose stored name starts with Morgan. That list can be long. Add the next word when you need a shorter list. If you get nothing, shorten from the right, then check BrokerCheck. The firm may not be in the adviser filings.

Read the result

A row is a firm we store, with a CRD. It answers "do we have an adviser-firm record under this name?" It does not answer "is this broker-dealer registered with FINRA?" Use BrokerCheck for that. Use the firm page and What is Form ADV? when the record is an advisory firm.

The IAPD firm-name tools are adv_search_firm and SearchIAPDFirm. Use those when the agent named an IAPD firm search instead of BrokerCheck.

Use this next

• GetIAPDFirmDetail with the firm CRD when you need the advisory firm record.
• SearchBrokerCheck for a person at the firm.
• adv_search_firm for the same name under the SEC ADV tool.
• RIA versus broker before you mix the two files.

Do not do this

• Do not expect every broker-dealer in the country to appear. This directory is built from adviser filings.
• Do not put a person CRD in this name box.
• Do not skip BrokerCheck when the question is about a broker-dealer registration. The check order for advisers is 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.