WEBYou can search for an Investment Adviser firm on this website and view the registration or reporting form ("Form ADV") that the adviser filed. This website will also search FINRA's BrokerCheck system and indicate whether an entity is a Brokerage firm.
WEB4 days ago · Search your investment professional's background. Enter their name in our Investment Adviser Public Disclosure (IAPD) website to see if they're registered. It's a red flag if they're not! You can also check out whether they’ve ever been in trouble with securities regulators.
DA:84PA:62MOZ Rank:94
BrokerCheck - Find a broker, investment or financial advisor
WEBBrokerCheck tells you instantly whether a person or firm is registered, as required by law, to sell securities (stocks, bonds, mutual funds and more), offer investment advice or both.
DA:60PA:29MOZ Rank:27
IAPD - Investment Adviser Public Disclosure - Homepage
WEBHow to Obtain Information About Specific Investment Advisers and Investment Adviser Representatives You can view an SEC-registered investment adviser, SEC Exempt Reporting Adviser, or State-registered adviser's most recent Form ADV online by clicking on the Investment Adviser Search link on the left navigation panel of this page.
DA:30PA:47MOZ Rank:70
How to Use the Investment Professional Search Tool on …
WEBAug. 6, 2020. The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to show investors how to use Investor.gov ’s free and easy search tool to help you check out brokers and investment advisers .
DA:23PA:67MOZ Rank:94
Investment Adviser Public Disclosure (IAPD) | Investor.gov
WEBSearch for an investment adviser firm or individual representative. View the adviser’s current Form ADV filing, including the firm’s current relationship summary. Check the adviser’s or individual representative’s registration status.
WEBInvestor.gov has a free and simple search tool that allows you to find out if your investment professional is licensed and registered, and if the firm or person has had run-ins with regulators or received complaints from investors. Always check out …
WEBThrough IAPD, you can: Search for an investment adviser firm. View the adviser’s current Form ADV filing, including the firm’s current relationship summary. Check the adviser’s registration status. Search for an investment adviser representative. View information on the representative’s professional background and conduct.
DA:27PA:70MOZ Rank:93
BrokerCheck - Find a broker, investment or financial advisor
WEBBrokerCheck - Find a broker, investment or financial advisor. BrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors.
