Checking Out a Brokerage Firm, Individual Broker, Investment Adviser Firm, or Individual Investment Adviser
Information about brokerage firms and individual brokers is publicly available online through FINRAís Broker Check program and by calling toll-free at (800) 289-9999. †Information about certain investment adviser firms is available through the SECís Investment Adviser Public Disclosure (IAPD) Program. Information about brokerage firms, individual brokers, investment adviser firms and individual investment advisers also is available through each stateís securities regulator. †Details on how to get in touch with a stateís securities regulator are available through the North American Securities Administrators Association, Inc.'s website.
FINRAís BrokerCheck Program
Information on brokerage firms. †FINRAís BrokerCheck Program provides the following information on brokerage firms:
Information on individual brokers. †BrokerCheck provides the following information on individual brokers:
The SECís IAPD Program
The IAPD Program provides information about both SEC- and state-registered investment adviser firms. †The SEC typically regulates investment advisers that manage more than $100 million in assets.† Advisers that do not meet this threshold generally are regulated by the states.
Through the IAPD, investors may:
Investment adviser firms that have not registered with the SEC electronically will not appear on the IAPD page. †If you do not see a firm listed through IAPD and you want to check the firmís registration status, contact the SEC at (202) 551-6825 or the appropriate state securities authority through http://www.nasaa.org.
Information on individual investment advisers is available through state securities regulators.