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.