How Can the Securities Division Help Me?
Contact the Commission's Securities Division to inquire about the license status and possible disciplinary history of the securities salesperson or investment adviser--even if it's with someone you know and trust.
Check your broker's background.
Use the CRD (Central Registration Depository) number to look up a broker or brokerage firm.
- Visit for free background and license information - searches are confidential.
- For investment advisors, use the (IAPD) database.
- Review public disclosures for both the individual and the firm, as companies may have legal actions or disciplinary history.
Your search is free, fast, and confidential.
Protect Yourself as an Investor
Resolve Disputes
Learn how to prevent and settle a disputes through FINRA's Investor Guide to Securities Industry Disputes (pdf), including how arbitration and mediation work.
Check a Professional
Find out what details you can obtain from a CRD/IARD report when researching an investment professional by reviewing our ask and check (pdf) guide.
Know the Difference
Understand the roles of a stockbroker, investment advisor, and financial planner and their obligations to you as a client. See different roles of financial services providers (pdf) for more information.
Verify Registration
Before trading in commodities, forex, or derivatives, confirm that the person or firm is registered with the Commodities Future Trade Commission (CFTC) using the BASIC (Background Affiliation Status Center) database.
