Information Contained on CRD

• Name, aliases, address.
• Employment and registration history. This shows all the FINRA broker-dealers he has worked for as well as summary information on employment outside the securities industry.
• Licensing history, including the dates he took and passed, or failed each licensing exam.
• Information about customer disputes including written complaints, arbitrations & lawsuits. Details are provided regarding the basis of the claim, the amount in controversy and the amount of any settlement or award. If the broker contributed his own funds toward the resolution, that detail is provided.
• Internal Revenue Service tax liens and any bankruptcy filings by the broker.
• Criminal charges, if any.
• Disciplinary actions, including fines, suspensions or bars from the industry by FINRA, the SEC or any state securities regulator.

The information available on a BrokerCheck report for a brokerage firm includes:

• The firm's licensing information, address and any former names for the entity.
• Disclosures about arbitration awards, lawsuits, etc.
• Results of any actions taken by state or federal securities regulators.

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