brokerauthorities

https://brokerauthorities.com

Search By clicking the SEARCH button or otherwise using Broker Authorities, I agree to BrokerAuthorities Terms of Use   Please be aware that fraudsters may link to Broker Athorities from phishing and similar scam websites, trying to steal your personal information or your money. Make sure you know who you’re dealing with when investing, and contact Broker Authorities with any concerns. For more information read our investor alert on imposters. Why Use Broker Authorities? Broker Authorities helps you make informed choices about brokers and brokerage firms-and provides easy access to investment adviser information. Broker Authorities tells you instantly whether a person or firm is registered, as required by law, to sell securities (stocks, bonds, mutual funds and more), offer investment advice or both. Broker Authorities gives you a snapshot of a broker’s employment history, regulatory actions, and investment-related licensing information, arbitrations and complaints. Want more information? Browse the list of brokers barred by Broker Authorities . Check out the new SEC Action Lookup tool for formal actions that the SEC has brought against individuals, including those who are not brokers. Go to your state securities regulator to do additional research on brokers and investment advisers. Broker Authorities does not have information regarding civil litigation not involving investments, civil protective orders, criminal matters unless they are felonies, or misdemeanors that are investment-related or involve theft or a “breach of trust.” Consider doing an internet search to check for that type of information. What is Broker authorities ? Who is Broker Autourities? Broker Authorities is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. We are authorized by Congress to protect America’s investors by making sure the securities industry operates fairly and honestly. Learn more about Broker Authories at www.brokerauthorities.com Want to learn more? Learn more about BrokerAuthorities Information and where it comes from Need Assistance? Call Broker Authorities Help Line at (800) 289-9999, email us, or complete our survey. Use of the Authorities site is subject to BrokerAuthorities Terms of Use

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