Monthly Archives: October 2014

Use Finra BrokerCheck before Renewal Time

Verify Your Registrations for Renewals

Important Tip – Go to to view your current securities registrations online. If you find any discrepancies, or want to make any changes please advise the TFS Licensing Department for review before your renewal invoice goes out. 

BrokerCheck is a free tool to help investors research the professional backgrounds of brokerage firms and brokers currently or formerly registered with FINRA or a national securities exchange, as well as current or former investment adviser firms and representatives. BrokerCheck information is drawn from filings by regulators, firms and investment professionals. It includes current licensing status and history, employment history and, if any, reported regulatory, customer dispute, criminal and other matters. It should be the first resource investors turn to when choosing whether to do business or continue to do business with a particular firm or individual.

Through BrokerCheck, investors can:

  • Search for information about brokers and brokerage firms
  • Search for information about investment adviser firms and representatives
  • Obtain online background reports, if available
  • Link to additional resources such as educational tools for investors

BrokerCheck is just as useful to representatives as it is to Investment firms!

Remember it is your responsibility to keep your U4 current and accurate!!