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It explains what a BrokerCheck report includes, how pending actions or allegations may be contested or settled, and how recently updated information typically appears. The report details current registrations, exam history, and registration summary, and provides guidance for verifying broker and firm information before investing.",{"@graph":63,"@context":118},[64,80,101],{"@type":65,"itemListElement":66},"BreadcrumbList",[67,71,74,77],{"item":68,"name":69,"@type":70,"position":9},"https://docshare.wps.com","Home","ListItem",{"item":72,"name":10,"@type":70,"position":73},"https://docshare.wps.com/template/",2,{"item":75,"name":51,"@type":70,"position":76},"https://docshare.wps.com/template/general/",3,{"item":78,"name":59,"@type":70,"position":79},"https://docshare.wps.com/template/brokercheck-report-crd-7629253-report-summary-and-qualifications/303875/",4,{"url":78,"name":59,"@type":81,"image":82,"author":87,"headline":59,"publisher":90,"fileFormat":93,"inLanguage":57,"description":61,"dateModified":94,"datePublished":95,"encodingFormat":93,"isAccessibleForFree":96,"interactionStatistic":97},"DigitalDocument",{"url":83,"@type":84,"width":85,"height":86},"https://docshare.wps.com/thumbnails/brokercheck-report-crd-7629253-report-summary-and-qualifications/303875.png","ImageObject",442,249,{"name":88,"@type":89},"Ivy","Person",{"url":68,"name":91,"@type":92},"DocShare","Organization","application/pdf","2026-09-22","2026-09-19",true,{"@type":98,"interactionType":99,"userInteractionCount":9},"InteractionCounter",{"@type":100},"ViewAction",{"@type":102,"mainEntity":103},"FAQPage",[104,110,114],{"name":105,"@type":106,"acceptedAnswer":107},"What is included in a BrokerCheck report for an individual broker?","Question",{"text":108,"@type":109},"It includes employment history, professional qualifications, disciplinary actions, criminal convictions, civil judgments, and arbitration awards.","Answer",{"name":111,"@type":106,"acceptedAnswer":112},"Where does the information in BrokerCheck come from?",{"text":113,"@type":109},"The information comes from FINRA’s CRD and a combination of required registration/licensing submissions and regulator reports on disciplinary actions or allegations.",{"name":115,"@type":106,"acceptedAnswer":116},"How current is the information shown in BrokerCheck?",{"text":117,"@type":109},"Active brokers and firms generally update CRD within 30 days, and information from firms, brokers, and regulators is usually available in BrokerCheck the next business day.","https://schema.org",{"og:url":78,"og:type":120,"og:title":59,"og:site_name":91,"og:description":61},"article",{"robots":122,"canonical":78},"index,follow",{"doc_id":124,"site_id":56},303875,1790101581,{"code":4,"msg":5,"data":127},{"doc_id":124,"user_id":128,"nickname":88,"user_avatar":129,"doc_module":9,"category_id":50,"category_name":51,"doc_title":59,"doc_description":61,"doc_content":130,"file_id":131,"file_url":132,"file_type":133,"file_size":134,"view_count":9,"is_deleted":4,"is_public":9,"is_downloadable":9,"audit_status":9,"page_count":135,"language":136,"language_code":57,"site_id":56,"html_lang":57,"table_of_contents":137,"faqs":138,"seo_title":139,"seo_description":61,"update_tm":140,"read_time":76},549758252649,"https://ap-avatar.wpscdn.com/avatar/8000253669c5317157?_k=1778319167496531819","BrokerCheck Report  \nSean Werner  \nCRD\\# 7629253  \nSection Title  Page(s)  \nReport Summary 1  \nBroker Qualifications 2-3  \nRegistration and Employment History 5  \n\n| \u003Cbr>i | When communicating online or investing with any professional, make sure you know who you're dealing with.  Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media, trying to steal your personal information or your money.\u003Cbr>Please contact FINRA with any concerns. |\n| --- | --- |\n\nAbout BrokerCheck®  \nBrokerCheck offers information on all current, and many former, registered securities brokers, and all current and former registered securities firms. FINRA strongly encourages investors to use BrokerCheck to check the background of securities brokers and brokerage firms before deciding to conduct, or continue to conduct, business with them.  \n· What is included in a BrokerCheck report?  \n· BrokerCheck reports for individual brokers include information such as employment history, professional qualifications, disciplinary actions, criminal convictions, civil judgments and arbitration awards. BrokerCheck reports for brokerage firms include information on a firm’s profile, history, and operations, as well as many of the same disclosure events mentioned above.  \n· Please note that the information contained in a BrokerCheck report may include pending actions or  \nallegations that may be contested, unresolved or unproven. In the end, these actions or allegations may be resolved in favor of the broker or brokerage firm, or concluded through a negotiated settlement with no admission or finding of wrongdoing.  \n· Where did this information come from?  \n· The information contained in BrokerCheck comes from FINRA’s Central Registration Depository, or CRD® and is a combination of:  \no information FINRA and/or the Securities and Exchange Commission (SEC) require brokers and brokerage firms to submit as part of the registration and licensing process, and  \no information that regulators report regarding disciplinary actions or allegations against firms or brokers.  \n· How current is this information?  \n· Generally, active brokerage firms and brokers are required to update their professional and disciplinary information in CRD within 30 days. Under most circumstances, information reported by brokerage firms, brokersand regulators is available in BrokerCheck the next business day.  \n· What if I want to check the background of an investment adviser firm or investment adviser representative?  \n· To check the background of an investment adviser firm or representative, you can search for the firm or individual in BrokerCheck. If your search is successful, click on the link provided to view the available licensing and registration information in the SEC's Investment Adviser Public Disclosure (IAPD) website at [https://www.adviserinfo.sec.gov. In](https://www.adviserinfo.sec.gov. In) the alternative, you may search the IAPD website directly or contact your state securities regulator at [http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/P455414](http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/P455414) .  \n· Are there other resources I can use to check the background of investment professionals?  \n· FINRA recommends that you learn as much as possible about an investment professional before deciding to work with them. Your state securities regulator can help you research brokers and investment adviser representatives doing business in your state.  \n·  \nThank you for using FINRA BrokerCheck.  \nUsing this site/information means that you accept the FINRA BrokerCheck Terms and Conditions. A complete list of Terms and Conditions can be found at  \n[brokercheck.finra.org](brokercheck.finra.org)  \nFor additional information about the contents of this report, please refer to the User Guidance or [www.finra.org/brokercheck. It](www.finra.org/brokercheck. It)[ ](www.finra.org/brokercheck. It)provides a glossary of terms ","cbCaib76BlPhZa6t","https://ap.wps.com/l/cbCaib76BlPhZa6t","pdf",76524,8,"English","# Report Summary\n## Broker Qualifications\n## Registration and Employment History","[{\"question\":\"What is included in a BrokerCheck report for an individual broker?\",\"answer\":\"It includes employment history, professional qualifications, disciplinary actions, criminal convictions, civil judgments, and arbitration awards.\"},{\"question\":\"Where does the information in BrokerCheck come from?\",\"answer\":\"The information comes from FINRA’s CRD and a combination of required registration/licensing submissions and regulator reports on disciplinary actions or allegations.\"},{\"question\":\"How current is the information shown in BrokerCheck?\",\"answer\":\"Active brokers and firms generally update CRD within 30 days, and information from firms, brokers, and regulators is usually available in BrokerCheck the next business day.\"}]","BrokerCheck Report - CRD 7629253 - Report Summary and Qualifications | PDF",1789807872]