WebCentral Registration Depository (CRD) The Financial Industry Regulatory Authority (FINRA) administers the CRD program, which facilitates the licensing and registration of U.S. securities industry firms and professionals. The CRD contains the registration records of broker-dealer firms, branch offices, and their associated financial ... WebSearch Agent, Agency or Company. Financial industry. Consumer finance companies, loan originators, mortgage lenders; Banks; Trust companies; Collection agencies; ... www.brokercheck.finra.org; If the firm you seek is not found, it may be exempt from licensing. Call the division at 1-888-877-4894 (toll-free) for more information. Footer ...
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WebApr 6, 2024 · The SEC assigns a unique number known as a CIK to each entity or individual that submits filings to the SEC. You may look up a CIK by searching either of the following databases. Enter as much of the filer name as you know in the search box, and select from the list of results. If a broker-dealer that files annual reports on EDGAR has multiple ... WebApr 6, 2024 · Investment Adviser Public Disclosure (IAPD) Search your investment professional's background. Enter their name in our Investment Adviser Public Disclosure (IAPD) website to see if they're registered. It's a red flag if they're not! You can also check out whether they’ve ever been in trouble with securities regulators. lazy slow cooker acorn squash
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WebRegistered Firms. Find firms currently registered with the PCAOB by name, location or audit report activity. This information is reported by the firms in their most recent annual reports to the PCAOB. View the Firm Summary page to see a firm’s registration, annual and special report filings, inspection reports, or disciplinary actions. Web23 hours ago · FINRA points to a number of ways to spot these scams to protect both clients’ identity and assets. To appear genuine, these pitches typically use: the names of … lazy sloth images