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Financial Industry

Financial Industry

FINRA BrokerCheck
A search of the Financial Industry Regulatory Authority, Inc (FINRA) BrokerCheck. Results include list of investment-related licensing information, disclosures (customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of) and if the individual is barred from acting as a broker or otherwise associating with a broker-dealer firm.

National Association of Securities Dealers – Central Records Depository (NASD-CRD)
A search of public records from the National Association of Securities Dealers Central Records Depository, the CRD includes records provided by individual brokers, NASD member firms and securities regulators as part of the securities industry registration and licensing process. The information returned pertains to the broker’s employment history, approved registrations and disclosure events, including but not limited to certain criminal charges and convictions, regulatory actions, civil judicial actions, consumer initiated complaints, terminations and certain financial actions.

CS Global Sanctions & Watch List Search
CS Global Sanctions & Watch List Search improves your compliance with the U.S. Patriot Act and provides access to national and international data sources with information about individuals and organizations linked to terrorism, proliferation of weapons of mass destruction, drug trafficking and other acts that threaten national security. These individuals and entities may be a threat to global and national security and in most cases cannot be legally employed. The data sources searched typically include the over 200 global sources. Searches are conducted by exact name and cover a history of seven (7) years. Any record discovered is matched by name and at least one additional identifier.