Securities broker license check pacimi709199104
Securities broker license check.
Tect main menu FINRA Broker oker dealer, , securities salesperson
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.
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.