Frequently Asked Questions

PlainAdvisorCheck is a free public tool that makes FINRA BrokerCheck disciplinary data accessible and easy to understand for everyday investors. We present the same public data available at BrokerCheck.FINRA.org in a more searchable, readable format.

Use the search bar on the homepage to search by name, firm name, or CRD number (Central Registration Depository number). Results show disciplinary history, regulatory actions, customer disputes, and employment history.

A CRD (Central Registration Depository) number is a unique identifier assigned to every registered broker and investment adviser in the United States by FINRA. If you know your advisor's CRD number, it's the fastest way to look them up.

Disciplinary records can include regulatory actions (fines, suspensions, bars) from FINRA or the SEC, customer dispute disclosures (arbitration claims, settlements), criminal disclosures, and civil judicial actions. Not all disclosures indicate wrongdoing, some are pending or disputed.

A broker may not appear if they are registered only with state regulators and not with FINRA, if their record was expunged by arbitration order, or if our database hasn't yet been updated with their most recent registration. Always verify at FINRA BrokerCheck directly for the most current status.

No. PlainAdvisorCheck is an independent data portal presenting publicly available regulatory data. We are not affiliated with FINRA, the SEC, or any government agency. Always verify information at the official source before making financial decisions.

No. PlainAdvisorCheck provides public regulatory data for research purposes only. Nothing on this site constitutes investment advice or an endorsement of any financial advisor or firm.