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Financial Industry

Financial Industry

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.