Search for an NFA ID

The following tutorial is a step-by-step look at several sections of the Online Registration System (ORS).

For each section of ORS that is displayed in this tutorial, you will see a picture of an important part of an ORS screen and corresponding text under it. If you still need assistance after viewing the tutorial, contact NFA's Information Center.


Enrollment Process  |  Navigation Menus |  Search for an NFA ID  |  Firm Path  |  Individual Path  |  Verification  | 
Security Manager Functions  |  Assign an NFA ID  |  Update Disciplinary History  |  Terminate Individual  |


Section 3: SEARCH FOR AN NFA ID 

The Online Registration System (ORS)  Search for an NFA ID screen allows you to conduct searches for NFA IDs of individuals, firms, holding companies, sole proprietors, or commodity pools. 

To search for an individual NFA ID you may use the Search for an Individual, Search by Social Security Number or Search by CRD/IARD Number. The Search by CRD/IARD Number is only available for users that have an ORS Security Level of at least View with a firm that is a Broker Dealer. If known, the Social Security Number search will yield precise results.



Search for an NFA ID

To search for an individual NFA ID using the Search for an Individual, enter the individual's last name in the first field and the individual's first and middle name in the second field. Next, select the type of search you would like to conduct. An explanation of the different Search Types can be found at the end of the tutorial or by clicking on the Search Types link. Once the required information has been entered, click on the Search button.



Search Results

After the Search button has been clicked, the Search Results screen will return. The screen will contain the following information:

  • Name of individual
  • NFA ID of individual
  • The birth year of the individual will display and a link to view the individual's affiliation(s). To view the individual affiliation(s) click on the Affiliations(s) link
  • If the name that is returned is an Alias, the word Alias will display in the Birth Year/Affiliation(s) field.

The three buttons on the bottom of the Search Results screen will enable the user to select an individual and then transfer to either the Current Registration Status, the Registration History or the BASIC Details screen. To transfer screens, select the NFA ID by clicking on the radio button that corresponds to the individual's name and then click on the button that is labeled with the name of the screen you wish to view. 



Search by Social Security Number

To search for an individual NFA ID using the Search by Social Security Number, enter the individual's Social Security Number. Once the required information has been entered, click on the Search button. 



 Search

After the Search button has been clicked, the Search Results screen will return. The screen will contain the following information:

  • Name of individual
  • NFA ID of individual
  • The birth year of the individual will display and a link to view the individual's affiliation(s). To view the individual affiliation(s) click on the Affiliations(s) link
  • If the name that is returned is an Alias, the word Alias will display in the Birth Year/Affiliation(s) field.
  • The three buttons on the bottom of the Search Results screen will enable the user to select an individual and then transfer to either the Current Registration Status, the Registration History or the BASIC Details screen. To transfer screens, select the NFA ID by clicking on the radio button that corresponds to the individual's name and then click on the button that is labeled with the name of the screen you wish to view

To search for a firm's, holding company's, or sole proprietor's NFA ID you may use the Search for a Firm, Holding Company, or Sole Proprietor or Search by CRD/IARD Number. The Search by CRD/IARD Number is only available for users that have an ORS Security Level of at least View with a firm that is a Broker Dealer. 



Search for Firm, Holding Company, Sole Proprietor

To search for a firm, holding company or sole proprietor NFA ID using the search for a Firm, Holding Company, or Sole Proprietor, enter the legal name of the firm, holding company or the last name of the sole proprietor. Next, select the type of search you would like to conduct. An explanation of the different Search Types can be found at the end of the tutorial or by clicking on the Search Types link. Once the required information has been entered, click on the Search button.



Search Results

After the Search button has been clicked, the Search Results screen will return. The screen will contain the following information:

  • Name of firm, holding company or sole proprietor
  • NFA ID of firm, holding company or sole proprietor
  • The location of the firm's or sole proprietor's main office will display and a link to view the firm's or sole proprietor's current status. To view the firm's or sole proprietor's current status, click on the Current Status link
  • If the name that is returned is an Alias, the word Alias will display in the Location/Current Status field
  • If the name that is returned is a Doing Business As Name the acronym DBA will display in the Location/Current Status field

The four buttons on the bottom of the Search Results screen will enable the user to select a firm and then transfer to either the Current Registration Status, the Registration History, the BASIC Details or the Part 4 Exemptions screen. To transfer screens, select the NFA ID by clicking on the radio button that corresponds to the firm's name and then click on the button that is labeled with the name of the screen you wish to view.



Search by CRD/IARD Number

To search for an individual, firm, or sole proprietor NFA ID using the Search by CRD/IARD Number, enter the individual's, firm's, or sole proprietor's CRD/IARD Number. The Search by CRD/IARD Number is only available for users that have an ORS Security Level of at least View with a firm that is a Broker Dealer. Once the required information has been entered, click on the Search button. 



Search Results for CRD/IARD

After the Search button has been clicked, the Search Results screen will return. The screen will contain the following information:

  • Name of firm, individual or sole proprietor
  • NFA ID of firm, individual or sole proprietor
  • CRD/IARD of the firm, individual or sole proprietor

The three buttons on the bottom of the Search Results screen will enable the user to select a firm, individual or sole proprietor and then transfer to either the Current Registration Status, the Registration History, or  BASIC Details screen. To transfer screens, select the NFA ID by clicking on the radio button that corresponds to the firm's, individual's or sole proprietor's name and then click on the button that is labeled with the name of the screen you wish to view.



Search for a Pool

To search for a Pool ID using the Search for a Pool, enter the Pool's name. Next, select the type of search you would like to conduct. An explanation of the different Search Types can be found at the end of the tutorial or by clicking on the Search Types link. Once the required information has been entered, click on the Search button.



Search Results for Pool Name

After the Search button has been clicked, the Search Results screen will return. The screen will contain the following information:

  • Name of pool
  • ID of pool
  • The name and NFA ID of the firm that operates the pool 

The View Part 4 Exemptions button will enable the user to select a pool and then transfer to the Part 4 Exemptions screen. To transfer screens, select the Pool ID by clicking on the radio button that corresponds to the pool's name and then click on the button that is labeled View Part 4 Exemptions.



SEARCH TYPES

When conducting a search for an individual, firm, holding company, sole proprietor, or pool, you can select from one of the following search types:

Starts With:

This search type is the default search and should be used if you know the exact spelling of the name. "Starts With" will return those results that start with the text entered. Searching for "Coh" will return the following:

  • Cohan
  • Cohen
  • Cohn, etc.

When searching for an individual and both last and first names are entered, "Starts With" is used for both the text entered in the Last Name field and the text entered in the First and Middle Name field.

Contains:

This search type should be used if you only know the exact spelling of any part of the name. "Contains" will return those results that contain the text entered regardless of where the search term occurs in the name. Searching for "Cohen" will return the following:

  • Cohenagen
  • Cohen industries
  • Mary Cohen, etc.

When searching for an individual and both last and first names are entered, "Contains" will be used for the text entered in the Last Name field.

Ends With:

This search type should be used if you know the exact spelling of the last part of the name. It is recommended that you do not use this search type for Sole Proprietors. "Ends With" will return those results that end with the text entered. Searching for "Hagen" will return the following:

  • Barney Woodhagen
  • Blake Hagen
  • Copenhagen, etc.

However, Hagendaaz will not be returned since this name does not end with Hagen. When Searching for an Individual and both last and first names are entered, "Ends With" will be used for the text entered in the Last Name field.

Sounds Like:

This search type should be used when you do not know the exact spelling of the name; however, it is not a phonetic search. Entering as much of the name that is known will give you the best results. "Sounds Like" will return those results that have a similar sound with the text entered. Searching for "Worthington" will return the following:

  • Wertheim
  • Wharton
  • Worthington, etc.

This search type allows you to find results even though you may have spelled the name incorrectly. When Searching for an Individual and both last and first names are entered, "Sounds Like" will be used for the text entered in the Last Name field.

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