Does BrokerSearch contain information for all broker-dealers or investment advisers?
No. BrokerSearch contains information about brokers who are currently registered with FINRA or a national securities exchange AND who are required to disclosure information about customer disputes, disciplinary events, and certain criminal and financial matters. Please be aware that some of these items may involve pending actions or allegations that have not been resolved or proven.
If my broker or investment adviser is not on BrokerSearch, does that mean he/she does not have any customer disputes or regulatory and disciplinary events?
Although BrokerSearch tries to provide timely and correct information about all individuals there may be changes or updates that have taken place after the publication of the information on this Website. To contact FINRA, either visit FINRA’s BrokerCheck website or call FINRA’s toll-free BrokerCheck hotline at (800) 289-9999.
What is the source of the information found on BrokerCheck?
The Financial Industry Regulatory Authority, Inc. (“FINRA”) collects, compiles, organizes, indexes, digitally converts and maintains regulatory data from registered persons, member firms, government agencies and other sources and maintains the data in its proprietary Central Registration Depository (“CRD®”) database and system. FINRA releases portions of such data through FINRA BrokerCheck, which provides data from the CRD system to the investing public.
There are errors/outdated information on my BrokerSearch Report. Can you fix?
If you discover any errors or included outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
Will you remove my Report from BrokerSearch.info?
No. We will not fully remove items from BrokerSearch.info without an applicable court order designating them for removal. Investors rely on the information on this Website to decide whether to choose a broker or investment adviser.
Will you remove my Report from Google and other search results?
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol. When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from BrokerSearch.info would not appear in the search results.
Please contact us to learn more Search Engine Removal.