Research an Investment or a Person or Firm Selling It

BrokerCheck

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 securities dealers 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 (CRD) 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.  Determine license/registration status and possible disciplinary history by contacting the Investigator on Duty by telephone (602) 542-0662 or toll-free in Arizona, 1-866-837-4399, or by email at  SecuritiesDiv@azcc.gov.

BASIC (Background Affiliation Status Information Center)

Use this search before working with any person or firm to trade in commodity futures, commodity pools, options, forex, or other derivatives to verify that the entity is properly registered with the Commodities Future Trade Commission (CFTC).  The Commodity Exchange Act requires certain firms and individuals to be registered with the CFTC. Registration and examination of intermediaries is conducted on behalf of the CFTC by the National Futures Association (NFA) under the supervision of the CFTC. Visit the NFA BASIC database to check registration, disciplinary or regulatory history and financial information.

Different Roles of Financial Service Providers

Finding a person who is knowledgeable, affordable, and trustworthy to assist you with your investments is important. This investor advisory provides basic information on three types of financial professionals and their obligations to you as a client.