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Checking Out a Brokerage Firm, Individual Broker, Investment Adviser Firm, or Individual Investment AdviserInformation about brokerage firms and individual brokers is publicly available online through FINRA’s Broker Check program and by calling toll-free at (800) 289-9999. Information about certain investment adviser firms is available through the SEC’s Investment Adviser Public Disclosure (IAPD) Program. Information about brokerage firms, individual brokers, investment adviser firms and individual investment advisers also is available through each state’s securities regulator. Details on how to get in touch with a state’s securities regulator are available through the North American Securities Administrators Association, Inc.'s website. FINRA’s BrokerCheck ProgramInformation on brokerage firms. FINRA’s BrokerCheck Program provides the following information on brokerage firms:
Information on individual brokers. BrokerCheck provides the following information on individual brokers:
The SEC’s IAPD ProgramThe IAPD Program provides information about both SEC- and state-registered investment adviser firms. The SEC typically regulates investment advisers that manage more than $100 million in assets. Advisers that do not meet this threshold generally are regulated by the states. Through the IAPD, investors may:
Investment adviser firms that have not registered with the SEC electronically will not appear on the IAPD page. If you do not see a firm listed through IAPD and you want to check the firm’s registration status, contact the SEC at (202) 551-6825 or the appropriate state securities authority through http://www.nasaa.org. Information on individual investment advisers is available through state securities regulators. http://www.sec.gov/answers/crd.htm
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