Brokers and Advisers

Check Out Brokers and Advisers

Federal or state securities laws require brokers, advisers, and their firms to be registered or licensed and to make important information available to the public.  However, it's up to investors to find that information and use it to protect their investment dollars.  The good news is that this information is easy to get, and one phone call may save you from sending your money to a con artist, a dishonest broker, or disreputable firm.

Before you invest, check to see if the broker, investment adviser or investment adviser representative has had run-ins with regulators or other investors.  You also should check to make sure they are registered or licensed.

You can learn how to check out your broker or adviser by reading Check Out Brokers and Advisers.

We have provided this information as a service to investors.  It is neither a legal interpretation nor a statement of SEC policy.  If you have questions concerning the meaning or application of a particular law or rule, please consult with an attorney who specializes in securities law.