Finra License Lookup
Check SEC Action Lookup tool for formal actions that the SEC has brought against individuals. The CRD program covers the registration records of broker-dealer firms branch offices and their associated individuals including their qualification employment and disclosure histories. Gerald James Ohalloran Finra Brokercheck Report Licensee and Financial Service Provider Search. Finra license lookup . 2 allow for the permissive registration of associated persons of firms. Please use the links below to navigate and search different options or industries. Arbitration and mediation case participants and FINRA neutrals can view case information and submit documents through this Dispute Resolution Portal. You may also contact us at 866 275-2677 for assistance. 6 You can work at an investment firm or as an independent agent after passing. Some competitors have CEOs who are FINRA licensed but not all. Visit FINRA BrokerCheck or call FINRA at 800 289-9999. Thus the findings and