iStock-971601256.jpg
iStock-518428404.jpg

Financial Industry Regulatory Authority

finra_cropped.cec706e511713c50f0d41c88050d0e28879a7023.png

Background Check for the Financial Industry 

iStock-1187648660.jpg

This Service is commonly needed for:

  • Firm partners, directors, officers, employees, etc. 

  • Personnel with access to confidential information

  • Sell securities

  • Regularly have access to the keeping, handling, or processing of securities, monies, or the original books and records relating to the securities or monies;

  • Have direct supervisory responsibility over those who sell securities or have access to securities, monies, or the original books and records.

FINRA is authorized by Congress to protect America’s investors by making sure the broker-dealer industry operates fairly and honestly. It oversees more than 624,000 brokers across the country—and analyzes billions of daily market events.