To Verify…
The Background of an Investment Professional
before you invest, click on the links below: 

For Stockbrokers/Registered Salespeople/Broker-Dealers
Check out the salesperson and the securities dealer for which the salesman works on the Web CRD (central registration depository) at www.finra.org  to see if the salesperson and dealer are registered in Arizona, for how long, and whether they have any disciplinary history. If you do not have access to the Web CRD, contact the Securities Division at 602-542-4242 or toll free at 1-866-VERIFY-9 (within Arizona only). Learn more before your search by reading, HOW TO VERIFY THE BACKGROUND OF A BROKER OR BROKERAGE FIRM. 


For Investment Advisers/Investment Adviser Representatives
Check out the adviser on the IAPD (Investment Adviser Public Disclosure) web site at www.adviserinfo.sec.gov to see if the investment adviser is licensed in Arizona, how long the adviser has been licensed, and whether the adviser has any disciplinary history. If you do not have access to the IAPD, contact the Securities Division at 602-542-4242 or toll free at 1-866-VERIFY-9 (within Arizona). Also, check out the investment adviser representative (the individual dealing with you, who works for the investment adviser) by contacting the Securities Division.  Learn more before your search by reading, HOW TO CHOOSE AN INVESTMENT ADVISER REPRESENTATIVE