State of Connecticut Department of Banking

Small-owned Businesses: Join us for a “Meet the Bankers” event on Wednesday, May 8th at 5:30 p.m. at CT Community College Housatonic in Bridgeport. Click here for more information. Pequeñas empresas: Participe con nosotros en el evento “Conozca a los Banqueros” el miércoles 8 de mayo a las 5:30 p.m. en CT Community College Housatonic en Bridgeport. Presione aquí para más información.

FINRA BrokerCheck Instructions

From the FINRA BrokerCheck main screen:

  1. Choose the Individual or Firm tab.
  2. Type the individual or firm name in either the Name or CRD# or Firm Name or CRD # field and fill out the City, State or Zip Code field.
  3. Click on the Search icon.
    • If you selected the Individual tab, you will receive the FINRA BrokerCheck Results page. This page indicates if an individual is a Broker regulated by FINRA, Investment Adviser or both.
      • Click on the More Details box. You will receive the More Details page, which indicates if an individual Investment Adviser is licensed by the SEC by displaying a “Visit SEC” indicator next to “Investment Adviser”.
      • The More Details page also has a Licenses box.  If you click on the box, look for “Connecticut” in the State Registrations field to see if the Investment Adviser is licensed in Connecticut, and/or:
    • If you selected the firm tab, FINRA BrokerCheck Results page states whether the firm is a Brokerage Firm regulated by FINRA, an Investment Adviser Firm or both.