Investment broker license search

2020-01-28 10:05

License Verification Search. To verify the registration status of a particular individual or business, please identify the license type and click the appropriate link. Check Glossary of Terms for definitions of licenseBrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors. investment broker license search

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About Us. The Illinois Department of Financial and Professional Regulations mission is to utilize responsive, innovative, transparent, and efficient (R. I. T. E. ) governance to create an ideal regulatory environment that (1) allows economic growth to flourish, and (2) effectively optimizes consumer choice. To learn more about Checking Out a Brokerage Firm, Individual Broker, Investment Adviser Firm, or Individual Investment Adviser. Feb. 14, 2012 listing its active licenses and registrations, the types of businesses it conducts and other details Search for an investment adviser firm;investment broker license search BrokerCheck Search Help. The name of the firm or individual you are searching for is misspelled. Refine your search by entering only part of the name of the individual or firm. The CRD number, SEC number or zip code is incorrect or invalid. Make sure that you have entered the correct information or try using different criteria for your search.

You can access extensive employment, disciplinary, and registration information about your stockbroker or investment adviser through your state securities regulator. To verify a license with either Broker Check or the Investment Adviser Public Disclosure, click here. To find contact information for your state securities regulator, click here. investment broker license search Check Out Your Broker! For information regarding brokerdealers, brokerdealer agents and investment advisers call the Department's Consumer Services Office at (866). Check the background of your broker or investment professional by using Financial Industry Regulatory Authority (FINRA) BrokerCheck.

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