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Securities Division

Research an Investment or a Person or Firm Selling It



Use this search to find out information about a securities dealer or salesman. BrokerCheck reports for individual salesmen include information such as employment history, professional qualifications, disciplinary actions, criminal convictions, civil judgments and arbitration awards. BrokerCheck reports for firms include information on a firm’s profile, history and operations disciplinary actions, criminal convictions, civil judgments and arbitration awards. Information comes from the Financial Regulatory Authority’s (FINRA) Central Registration Depository and is a combination of information that salesmen and firms provide as part of the registration and licensing process and information that is submitted by regulators. BrokerCheck is operated by FINRA.


Investment Adviser Public Disclosure

Use this search to find out about investment advisers or investment adviser representatives. This database contains information about an investment adviser and its business operations. Additionally, it contains disclosure about certain disciplinary events involving the adviser and its key personnel. If you are searching for an individual, it will include and individual's professional background and conduct, including current registrations, employment history, and disclosures about certain disciplinary events involving the individual. The Investment Adviser Public Disclosure is operated by the United States Securities and Exchange Commission.


Investigator on Duty

The Securities Division also has an investigator available to answer inquiries from the public about securities dealers and salesmen, investment advisers and investment adviser representatives, and securities. In some cases more information will be available by contacting the Investigator on Duty rather than using the BrokerCheck or Investment Adviser Public Disclosure databases. The Investigator on Duty can be contacted at (602) 542-0662 or


 What is the difference between an investment adviser, securities salesman and a financial planner?


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