brokercheck.finra.org
Open in
urlscan Pro
2606:4700:4400::ac40:9677
Public Scan
URL:
https://brokercheck.finra.org/
Submission: On September 06 via api from LU — Scanned from DE
Submission: On September 06 via api from LU — Scanned from DE
Form analysis
2 forms found in the DOM<form _ngcontent-ng-c90633002="" novalidate="" class="inline-block w-full form-transition ng-untouched ng-pristine ng-invalid">
<div _ngcontent-ng-c90633002="" class="flex sm:flex-col justify-between items-stretch gap-x-2">
<div _ngcontent-ng-c90633002="" class="flex-1 w-full min-w-0 h-10 sm:flex-none sm:mb-4"><input _ngcontent-ng-c90633002="" aria-label="individual-name" formcontrolname="individualNameCrd"
class="w-full min-w-0 h-10 sm:flex-none sm:mb-4 ng-untouched ng-pristine ng-valid" placeholder="Individual Name/CRD#" tabindex="0"><!----></div>
<div _ngcontent-ng-c90633002="" class="mt-2 font-bold text-gray-0 sm:hidden">at</div><input _ngcontent-ng-c90633002="" aria-label="firm-name" formcontrolname="firmNameCrd"
class="flex-1 w-full min-w-0 h-10 sm:flex-none sm:mb-4 ng-untouched ng-pristine ng-valid" placeholder="Firm Name or CRD/SEC# (optional)" tabindex="0"><span _ngcontent-ng-c90633002="" class="mt-2 font-bold text-gray-0 sm:hidden">in</span>
<div _ngcontent-ng-c90633002="" class="flex-1 w-full min-w-0 h-10 sm:flex-none sm:mb-4"><investor-tools-type-ahead _ngcontent-ng-c90633002="" formcontrolname="location" _nghost-ng-c1852256333="" class="ng-untouched ng-pristine ng-valid">
<div _ngcontent-ng-c1852256333="" class="inline-block relative w-full">
<div _ngcontent-ng-c1852256333="" class="flex flex-1 justify-between items-center bg-white"><input _ngcontent-ng-c1852256333="" aria-label="zip" class="border-0 w-full h-10 ng-untouched ng-pristine ng-valid"
placeholder="City, State or ZIP (optional)" tabindex="0"><!----></div><investor-tools-menu _ngcontent-ng-c1852256333="" class="absolute z-10 w-full tools-menu hidden" _nghost-ng-c2365251440="">
<div _ngcontent-ng-c2365251440="" class="bg-white overflow-y-auto shadow z-10 w-full" style="max-height: 160px;">
<div _ngcontent-ng-c2365251440=""><!----></div>
</div>
</investor-tools-menu>
</div>
</investor-tools-type-ahead><!----></div><button _ngcontent-ng-c90633002="" type="submit" aria-label="IndividualSearch" class="btn btn-lg btn-accent sm:px-2 md:px-2 sm:mt-4" tabindex="0"><fa-icon _ngcontent-ng-c90633002=""
class="ng-fa-icon sm:hidden lg:hidden text-2xl"><svg role="img" aria-hidden="true" focusable="false" data-prefix="fas" data-icon="search" class="svg-inline--fa fa-search fa-w-16" xmlns="http://www.w3.org/2000/svg" viewBox="0 0 512 512">
<path fill="currentColor"
d="M505 442.7L405.3 343c-4.5-4.5-10.6-7-17-7H372c27.6-35.3 44-79.7 44-128C416 93.1 322.9 0 208 0S0 93.1 0 208s93.1 208 208 208c48.3 0 92.7-16.4 128-44v16.3c0 6.4 2.5 12.5 7 17l99.7 99.7c9.4 9.4 24.6 9.4 33.9 0l28.3-28.3c9.4-9.4 9.4-24.6.1-34zM208 336c-70.7 0-128-57.2-128-128 0-70.7 57.2-128 128-128 70.7 0 128 57.2 128 128 0 70.7-57.2 128-128 128z">
</path>
</svg></fa-icon><span _ngcontent-ng-c90633002="" class="hidden lg:inline sm:block">Search</span></button>
</div>
</form>
<form _ngcontent-ng-c90633002="" novalidate="" class="inline-block w-full form-transition form-hidden-right ng-untouched ng-pristine ng-invalid">
<div _ngcontent-ng-c90633002="" class="flex sm:flex-col justify-between items-stretch gap-x-2">
<div _ngcontent-ng-c90633002="" class="flex-1 w-full min-w-0 h-10 sm:flex-none sm:mb-4"><input _ngcontent-ng-c90633002="" aria-label="firm-name" formcontrolname="firmNameCrd"
class="w-full min-w-0 h-10 sm:flex-none sm:mb-4 ng-untouched ng-pristine ng-valid" placeholder="Firm Name or CRD/SEC# (optional)"><!----></div><span _ngcontent-ng-c90633002="" class="mt-2 font-bold text-gray-0 sm:hidden">in</span>
<div _ngcontent-ng-c90633002="" class="flex-1 w-full min-w-0 h-10 sm:flex-none sm:mb-4"><investor-tools-type-ahead _ngcontent-ng-c90633002="" formcontrolname="location" _nghost-ng-c1852256333="" class="ng-untouched ng-pristine ng-valid">
<div _ngcontent-ng-c1852256333="" class="inline-block relative w-full">
<div _ngcontent-ng-c1852256333="" class="flex flex-1 justify-between items-center bg-white"><input _ngcontent-ng-c1852256333="" aria-label="zip" class="border-0 w-full h-10 ng-untouched ng-pristine ng-valid"
placeholder="City, State or ZIP (optional)" tabindex="0"><!----></div><investor-tools-menu _ngcontent-ng-c1852256333="" class="absolute z-10 w-full tools-menu hidden" _nghost-ng-c2365251440="">
<div _ngcontent-ng-c2365251440="" class="bg-white overflow-y-auto shadow z-10 w-full" style="max-height: 160px;">
<div _ngcontent-ng-c2365251440=""><!----></div>
</div>
</investor-tools-menu>
</div>
</investor-tools-type-ahead><!----></div><button _ngcontent-ng-c90633002="" type="submit" aria-label="FirmSearch" class="btn btn-lg btn-accent sm:px-2 md:px-2 sm:mt-4"><fa-icon _ngcontent-ng-c90633002=""
class="ng-fa-icon sm:hidden lg:hidden text-2xl"><svg role="img" aria-hidden="true" focusable="false" data-prefix="fas" data-icon="search" class="svg-inline--fa fa-search fa-w-16" xmlns="http://www.w3.org/2000/svg" viewBox="0 0 512 512">
<path fill="currentColor"
d="M505 442.7L405.3 343c-4.5-4.5-10.6-7-17-7H372c27.6-35.3 44-79.7 44-128C416 93.1 322.9 0 208 0S0 93.1 0 208s93.1 208 208 208c48.3 0 92.7-16.4 128-44v16.3c0 6.4 2.5 12.5 7 17l99.7 99.7c9.4 9.4 24.6 9.4 33.9 0l28.3-28.3c9.4-9.4 9.4-24.6.1-34zM208 336c-70.7 0-128-57.2-128-128 0-70.7 57.2-128 128-128 70.7 0 128 57.2 128 128 0 70.7-57.2 128-128 128z">
</path>
</svg></fa-icon><span _ngcontent-ng-c90633002="" class="hidden lg:inline sm:block">Search</span></button>
</div>
</form>
Text Content
Cookie Policy We use cookies to provide our site visitors a valuable experience as well as relevant content and services. For more information about our use of cookies, please visit our Privacy Policy Accept CookiesReject CookiesCookie Preferences Icon Customize FEEDBACK BrokerCheck Help Line (800) 289-9999 Schedule a Call FINRA Home * Individual * Firm * By clicking the SEARCH button or otherwise using BrokerCheck, I agree to BrokerCheck Terms of Use at in Search in Search By clicking the SEARCH button or otherwise using BrokerCheck, I agree to BrokerCheck Terms of Use Please be aware that fraudsters may link to BrokerCheck from phishing and similar scam websites, trying to steal your personal information or your money. Make sure you know who you’re dealing with when investing, and contact FINRA with any concerns. For more information read our investor alert on imposters. BrokerCheck is a free tool to research the background and experience of financial brokers, advisers and firms. WHY USE BROKERCHECK? BrokerCheck helps you make informed choices about brokers and brokerage firms-and provides easy access to investment adviser information. BrokerCheck tells you instantly whether a person or firm is registered, as required by law, to sell securities (stocks, bonds, mutual funds and more), offer investment advice or both. BrokerCheck gives you a snapshot of a broker's employment history, regulatory actions, and investment-related licensing information, arbitrations and complaints. Want more information? Browse the list of brokers barred by FINRA. Check out the new SEC Action Lookup tool for formal actions that the SEC has brought against individuals, including those who are not brokers. Go to your state securities regulator to do additional research on brokers and investment advisers. BrokerCheck does not have information regarding civil litigation not involving investments, civil protective orders, criminal matters unless they are felonies, or misdemeanors that are investment-related or involve theft or a "breach of trust." Consider doing an internet search to check for that type of information. Who is FINRA? FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. We are authorized by Congress to protect America’s investors by making sure the securities industry operates fairly and honestly. Learn more about FINRA at www.finra.org Want to learn more? Learn more about BrokerCheck Information and where it comes from Need Assistance? Call BrokerCheck Help Line at (800) 289-9999, email us, or complete our survey. Use of the BrokerCheck site is subject to BrokerCheck Terms of Use -------------------------------------------------------------------------------- ©2024 FINRA, All Rights Reserved FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. Privacy Legal