Submit Livescan to FINRA or Hard paper copy:
FINRA was created by congress to protect America’s investors by making sure the broker-dealer industry operates fairly and honestly. Any financial advisor or broker dealer must be fingerprinted through FINRA. The results are posted to an online portal called the web CRD which each firm has access to.
We can submit electronic fingerprints to FINRA.
If you did Finra before and you change jobs, you need to do a Finra application again for the new job.
BrokerCheck
https://brokercheck.finra.org/search/genericsearch/grid
WALK IN CLIENTS ARE WELCOME
Walk-ins are Welcome, but appointments take priority.
You can schedule an appointment:
