Resources
Before you invest, confirm who you are dealing with. Use the search tools on this site to check registration status, review the registration date, and read any disclosure events reported on the record.
Checklist before you invest
- Search the individual and the firm separately, and compare the results.
- Confirm the registration date and the states or federal registration listed.
- Read every disclosure event reported on the record.
- Ask for the firm's Form ADV Part 2A brochure and fee schedule in writing.
- Verify wire instructions by phone using a number you looked up independently.
Frequently asked questions
- What does a verified record mean?
- A verified record means the registration was matched against the firm's most recent accepted Form ADV filing during the nightly reconciliation. It is not an endorsement of the adviser.
- Why can't I find someone?
- The individual may not be registered as an investment adviser representative, may be registered only as a broker, or the name may be spelled differently on the filing. Searching by CRD number returns the most reliable result.
- What is a CRD number?
- A CRD number is the unique identifier assigned to a firm or individual in the central registration system. It never changes, even if the person moves between firms.
- How do I report a concern?
- Keep written records of all communications, then submit a complaint to your state securities regulator or federal authority. Never send additional funds to resolve a disputed account.
Need help with the site?
Call 240-386-4848 for technical assistance with searches, weekdays 8am–8pm ET.