Joseph Stone Capital Reviews How To Check A Broker On FINRA Brokercheck
"Before anyone invests with any firm, including ours, we encourage them to look it up on BrokerCheck," Joseph Stone Capital said. "It is free, it takes a few minutes, and it comes from the regulator."
What BrokerCheck is. BrokerCheck is a free tool from FINRA at finra. Its information on brokerage firms and their registered professionals comes from the Central Registration Depository (CRD), the industry's registration and licensing database, which is built from forms filed by professionals, firms and regulators.
How to check a broker, step by step:
1. Search by name or CRD number. Every registered firm and individual has a CRD number. Confirm you have the right person and the right firm.
2. Read the individual report. It shows a summary, the firms where the person is or was registered, employment history for the last 10 years, qualifications and exams passed, and a disclosure section.
3. Read the firm report. It shows the firm's profile and ownership, its history, its licenses and types of business, and disclosures such as arbitration awards, disciplinary events and financial matters.
4. Read each disclosure in full. FINRA notes that some disclosures involve pending actions or allegations that have not been resolved or proven. Look at the date, what was alleged and how it ended.
5. Use the supplements. FINRA Arbitration Awards Online contains the full text of arbitration awards, and FINRA Disciplinary Actions Online contains FINRA disciplinary actions issued in 2005 or later that are eligible for publication.
6. Ask questions. If something in a report is unclear, ask the firm about it directly, or contact your state securities regulator.
Investors who need help can call the BrokerCheck Hotline at (800) 289-9999. For investment advisers, BrokerCheck draws on the SEC's Investment Adviser Registration Depository.
"Reading a BrokerCheck report is a skill," the firm said. "We want investors to read the whole record, ask about anything they don't understand, and decide for themselves."
Disclosure: This release is for general educational purposes only and is not investment, legal or tax advice. It is not an offer to sell or a solicitation of an offer to buy any security. All investments involve risk, including loss of principal.
About Joseph Stone Capital, LLC
Joseph Stone Capital, LLC is a privately held, full-service broker-dealer headquartered at 585 Stewart Avenue, Suite L60C, Garden City, NY 11530. Member FINRA/SIPC. CRD #159744. Investors can research the firm and its registered representatives on FINRA BrokerCheck. josephstonecapital
Anthony Graziano
Joseph Stone Capital, LLC
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