Career Profile

FINRA operates and maintains the Central Registration Depository (“CRD”) pursuant to its rules and its agreements with other securities regulators and the North American Securities Administrators Association (NASAA). The CRD contains disclosure and administrative information about registered securities firms (e.g. broker-dealer, brokerage firms, registered investment advisors) and registered individuals (e.g. brokers, registered representatives, investment advisor representatives). The data within the CRD can be used like a background check on brokers and financial advisers, showing any complaints that may have been filed against them, enforcement actions, education, as well as licensing and professional certifications.