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

For Stockbrokers/Registered Salespeople/Securities Dealers
Contact the Securities Division's Investigator on Duty to determine registration status and possible disciplinary history.  Dial 602-542-0662 or in-state toll free at 1-866-VERIFY-9 (837-4399) and leave a voice-mail message, or you can e-mail the information to  info@azinvestor.gov.  Please know that your inquiry is confidential.

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.  Learn more before your search by reading, HOW TO VERIFY THE BACKGROUND OF A BROKER OR BROKERAGE FIRM. 

For Investment Advisers/Investment Adviser Representatives
Contact the Securities Division's Investigator on Duty to determine license status and possible disciplinary history.  Dial 602-542-0662 or in-state toll free at 1-866-VERIFY-9 and leave a voice-mail message, or you can e-mail the information to  info@azinvestor.gov.  Please know that your inquiry is confidential.

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.   Learn more before your search by reading, HOW TO CHOOSE AN INVESTMENT ADVISER REPRESENTATIVE