FINRA, the Financial Industry Regulatory Authority announced that it has added features to BrokerCheck to help users more easily access broker-dealer and investment adviser information. Many of the changes implemented by FINRA address recommendations made in a January, 2011. study by the Securities and Exchange Commission (SEC) reported FINRA in an article on their website.
BrokerCheck users now have:
1. Centralized access to licensing and registration information on current and former brokers and brokerage firms, and investment adviser representatives and investment adviser firms;
2. The ability to search for and locate a financial services professional based on main office and branch locations, and the ability to conduct ZIP code radius searches (in increments of 5, 15 or 25 miles); and
3. Access to expanded educational content available on BrokerCheck, including new help icons that clarify commonly referenced terms throughout the system and within BrokerCheck reports.
FINRA Executive Vice President, Derek Linden, of Registration and Disclosure, said, "BrokerCheck is the go-to source for investors to find up-to-date accurate information about their broker or potential brokers. FINRA is constantly looking for new ways to make BrokerCheck easier to use and to make the information more accessible to investors."
BrokerCheck is available to the public at no charge on FINRA's website, www.finra.org/brokercheck.
Securities Attorney, Lars Soreide, of Soreide Law Group, PLLC, has represented clients nationwide before FINRA. If you have sustained investment losses due to your stock broker or financial advisor’s recommendations call for a free consultation on how to potentially recover your losses. To speak with an attorney call: 888-760-6552, or visit our website at: https://www.securitieslawyer.com.
Soreide Law Group has filed a FINRA arbitration on behalf of their client (Claimant) against: WELLS FARGO CLEARING SERVICES, LLC (Respondent). The Claimant, in his mid-70s, is retired and living in Georgia. According to the lawsuit, the Claimant maintained his funds in cash accounts at Wells Fargo Bank and was referred to WELLS FARGO broker, […]
Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Colin Christy Kelty (also known as Colin Kelty) [CRD: 5859007, Oakbrook, Illinois]. Colin Kelty has been registered with Cetera Investment Services LLC since December 6, 2011, and Cetera Investment Advisers LLC since January 21, 2014. Previously, Kelty worked for Vision Investment Services, Inc., from […]
Employee Stock Options and Ownership Plans: Key Information Employee stock options (ESOs) and employee stock ownership plans (ESOPs) are popular benefits offered to employees by both private and publicly-traded companies; in certain cases, consultants, contractors and even investors may be offered stock options. The underlying stock options provide employees or stakeholder with a stake in […]
Phone:
Fax: 1-954-760-6553
Email: [email protected]