Attention: Beginning August 19, 2019, will be found at For up-to-date information on investment education and fraud prevention, please visit our new site and bookmark it.


When should I contact the Securities Division?

You should telephone, email, or write us when you need to:

  • Verify the licensing or registration status of investment promoters/professionals and their companies,


  • File complaints about your investment professionals and investment company,

Ask & Check  

About an Investment Adviser or Stockbroker 

How can the Securities Division help me? 
Contact the Commission's Securities Division to inquire about the license status and possible disciplinary history of the investment salesperson or adviser--even if it's with someone you know and trust:    


Investigator on Duty (Enforcement) 

TEL:            602-542-0662  


DUTIES:    Answers questions about filing a complaint about an investment; provides background information on securities dealers, salesmen, or investment advisers and their representatives upon request.


Also, before handing over your hard-earned money, ask enough questions to understand how the investment works then verify the answers with an objective resource, someone who is knowledgeable in financial matters, but who does not stand to benefit financially.

16 questions that can turn off a swindle to protect your money from con artists and unscrupulous investment professionals. 

Also, you can visit SmartCheck, a resource provided by a federal government agency, the
Commodities Futures Trading Commission (CFTC).


FINRA BrokerCheck® 
As an online resource, you can conduct a background check of an investment professional and the company with a CRD/IARD report from the Financial Industry Regulatory Authority's BrokerCheck®.    For investment advisers and their representatives, visit the Investment Adviser Public Disclosure (IAPD) database.

When conducting your search, look for public disclosures regarding both the individual and the company as the company may have legal actions taken against it. 

Read more about how to ask and check on an investment professional and the information you can obtain from a CRD/IARD report.  

Know the difference between a stockbroker, investment adviser and financial planner?