1300 W. Washington Street
Phoenix, AZ 85007-2996
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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 SecuritiesDiv@azcc.gov