Check Out Your Investment Professional

Check to See if a Securities Dealer or Agent Is Registered

The link below will take you to the FINRA Public Disclosure Program.

This program contains information on registration and disclosure for securities dealers and their agents. The information presented is based on information from the WEBCRD system, a joint registration data system used by the SEC, State Securities Regulators and the FINRA. The online information in the FINRA Public Disclosure Program does not contain all available disclosure information. If you wish to obtain more information or if you fail to find any record of registration on your securities dealer or agent, please contact our Registration Division at (512) 305-8300, or email your request to records@ssb.state.tx.us.

Please go to the FINRA Public Disclosure System.

Check to See if an Investment Adviser is Registered

The link below will take you to the Investment Adviser Registration Depository System (IARD) via the Securities and Exchanges web page.

The IARD system is a joint project between the SEC, State Securities Regulators and the FINRA. The IARD system currently contains only information from Part I of the Form ADV as entered by the advisory firm. To obtain disclosure of the adviser’s services, clients should request a copy of Part II of Form ADV or the adviser’s disclosure document from the adviser.

THE IARD SYSTEM WILL ONLY SHOW INFORMATION ON ADVISORY FIRMS. If you wish to check on the registration of an individual investment adviser representative or fail to find any record of registration on your adviser, contact our Registration Division at (512) 305-8300 or email your request to records@ssb.state.tx.us.

Please go to the IARD.