NASD BrokerCheck

NASD regulates the Broker/Dealer profession, including firms and their associated persons. NASD BrokerCheck includes information on over 850,000 current and former registered individuals and over 6,000 NASD registered firms.

NASD BrokerCheck is a resource tool to learn about the professional background, registration/license statuses and conduct of NASD registered firms and their registered brokers. NASD BrokerCheck was designed to be simple and efficient in its delivery of information. NASD makes information on securities professionals and firms available online and, in most cases, detailed report information is returned to you by e-mail within minutes of your request.

NASD BrokerCheck is governed by federal law, Securities and Exchange Commission (SEC) regulations, and NASD rules approved by the SEC. State disclosure programs are governed by state law, and may provide additional information on brokers licensed by the state.

Information made available through NASD BrokerCheck is derived from the Central Registration Depository (CRD^®) as reported on the industry registration/licensing forms - Form U-4 and Form BD. The Forms are approved by the Securities and Exchange Commission (SEC) and adopted by all self-regulatory and state securities regulators. Also included is regulatory information separately reported to the CRD by the SEC, self-regulatory organizations such as the NASD and New York Stock Exchange (NYSE), and state securities regulators. The most current information on brokers and firms is made available. Historical information that is no longer reportable on Form U-4 and information contained solely within state records is available only through the appropriate state regulator.

To perform a search on NASD BrokerCheck visit: www.nasd.com