Is My Investment Professional Licensed?

Print

Check Before You Invest

 

Individuals and companies are required to be licensed in the State of Nevada if they conduct securities business in or from the state.  Ensuring your securities professional is licensed is a critical step to protecting yourself and your investments.  Licensees are subject to regulation by various agencies and their disciplinary records are public information; however, verifying a license can be difficult because the individual or company may be licensed in different capacities or may be in one of several databases. 

The Securities Division is available to discuss your securities professional, their business or investment opportunity, and any publically-available information about the professional.  For assistance, please contact the Securities Division at (702) 486-2440.

Otherwise, you may use the tools below to determine if the individual or company is licensed. 

 

For Broker-Dealers and their Agents (or Registered Sales Representatives), use FINRA's BrokerCheck by clicking on the icon below: 

Image result for finra brokercheck

 

For Investment Advisers and their Representatives, use the SEC's Investment Adviser Public Disclosure website by clicking on the icon below: 

Image result for sec seal