1300 W. Washington Street
Phoenix, AZ 85007-2996
Contact the Commission's Securities Division to inquire about the license status and possible disciplinary history of the securities salesperson or investment adviser--even if it's with someone you know and trust:
Investigator on Duty (Enforcement)
DUTIES: Answers questions about filing a complaint about an investment promoter; provides background information on securities dealers, salesmen, or investment advisers and their representatives upon request.
Also, before handing over your hard-earned money, ask enough questions to understand how the investment works then verify the answers with an objective resource, someone who is knowledgeable in financial matters, but who does not stand to benefit financially.
Review the 16 questions that can turn off a swindle to protect your money from con artists and unscrupulous investment professionals
Complete this investor checklist to make an informed investment decision.
With FINRA BrokerCheck, you can get background and license info about an investment adviser or securities salesman, commonly known as a stockbroker.
As an online resource, you can conduct a background check of an investment professional and the company with a CRD/IARD report from the Financial Industry Regulatory Authority's Broker. For investment advisers and their representatives, visit the Investment Adviser Public Disclosure (IAPD) database.
NOTE: When conducting your search, look for public disclosures regarding both the individual and the company as the company may have legal actions taken against it.
Read more about FINRA's Fighting_Fraud-AZ.
Read more about how to ask and check on an investment professional and the information you can obtain from a CRD/IARD report.
Know the difference between a securities salesperson (stockbroker), investment adviser and financial planner?
Also, you can visit SmartCheck, a resource provided by a federal government agency, the Commodities Futures Trading Commission (CFTC).