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Lane
Lane, JD, CFP, MBA, CRPS
Category: Tax
Satisfied Customers: 10172
Experience:  Law Degree, specialization in Tax Law and Corporate Law, CFP and MBA, Providing Financial & Tax advice since 1986
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Another question Lev: Where I could check if a specific brokerage

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Another question Lev:
Where I could check if a specific brokerage company is allowed or not to trade securities from NYSE or NASDAQ ?
More specific: I want to double check if my brokerage company I was talking about in our previous session is doing business legally and if they authorized to do so.

You do that here.

http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/



Lane

Lane, JD, CFP, MBA, CRPS
Category: Tax
Satisfied Customers: 10172
Experience: Law Degree, specialization in Tax Law and Corporate Law, CFP and MBA, Providing Financial & Tax advice since 1986
Lane and 2 other Tax Specialists are ready to help you

Hi and welcome to Just Answer!

The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States.

BrokerCheck provides information about current and former FINRA-registered brokers and brokerage firms. It also provides information about investment adviser firms and representatives through the Investment Adviser Public Disclosure website, sponsored by the Securities and Exchange Commission.
Here is the database access - http://brokercheck.finra.org/Search/Search.aspx

There is no charge for reports.

 

However - each state has its own regulations and registration requirements - so you need to specify the location of your broker to be specific.

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