How do I access FinPro?
Accessing FinPro
FinPro users must create account credentials (user id, password and security challenge questions) as well as verify their identity with Transunion to access the system. FinPro cannot be accessed with Internet Explorer. Use a supported browser to log in.
What is a FinPro account?
The Financial Professional Gateway (FinPro) is a secure system for current and former registered representatives. Follow the steps below to create a FinPro account, so you can access your individual industry record and other compliance resources.
How do I log into FINRA?
Log into FINRA Gateway: https://gateway.finra.org/app/contacts.
- When prompted, enter your FINRA Entitlement login information.
- Upon successful login, the FINRA Gateway Contacts page will display.
How do I check my FINRA CE?
FINRA CE Online
The platform is available by logging into the FinPro (Financial Professional Gateway). Support for FinPro and the CE platform is available during core business hours, Monday through Friday from 8 a.m. to 8 p.m. ET. Notice will be provided on FINRA's Systems Status page when the systems are unavailable.
Who needs to register with FINRA?
You must be registered with FINRA if you're engaged in the securities business of your firm, which includes salespersons, branch managers, department supervisors, partners, officers and directors. You are required to pass qualification exams to demonstrate competence in your particular securities activities.
How do you know if a broker is legit?
You can find out if brokers are licensed in your state, if they've had run-ins with regulators or received serious complaints from investors. Go to finra.org/investors and click on "FINRA BrokerCheck." Or call 1-800-289-9999.
What is the difference between SEC and FINRA?
FINRA is a not-for-profit entity that is not part of the government. The Securities and Exchange Commission (SEC) is a government organization that is meant to protect investors and ensure the integrity of the securities market. The SEC oversees FINRA and acts as the first level of appeal for actions brought by FINRA.
How do I check if someone is registered with FINRA?
Visit FINRA BrokerCheck or call FINRA at (800) 289-9999.
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If you don't find the person in FINRA BrokerCheck (your search comes back as “No Search Results”), it can mean:
- is not the subject of a final regulatory action;
- has not been convicted of or pled guilty or no contest to certain crimes;