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Securities broker license check.

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NASAA Fraud Center How to Check Out Your Broker or adviser through your state securities regulator To verify a license with either Broker Check or. Federal or state securities laws require brokers, investment advisers, and their firms to be licensed or registered, and to make important information public But it s up to you to find that information and use it to protect your investment dollars.

BrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors.

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Broker dealers, securities salespersons, agents of securities issuers, franchise brokers, and commodities brokers operating in Washington State are required to be licensed with the Securities Division The Securities Division reviews applications for the qualifications of their principals, and the disciplinary history of the firm or its principals.

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Jul 05, 2011 How To Check Out Your Stock Broker much easier to check on your broker advisor representatives registered with the Securities and Exchange. Securitiesoker Dealers, State Investment Advisers and SEC Investment Advisers Brokevestment Adviser Check List.

The Maine Office of Securities protects investors by investigating and prosecuting violations of the securities laws; licensing broker dealers Check a Broker or. Check Out Your Broker For information regarding broker dealers, broker dealer agents and investment advisers call the Department s Consumer Services Office at866.

Ask and Check; Avoid Get Help with a Broker The investment adviser firm is not within scope for the Securities and Exchange Commission s.

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