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The Successful Investor is an Informed Investor.

Most financial professionals must be registered or licensed with a government regulator or self-regulatory organization. The free tools below allow you to investigate your financial professional's registration status and disciplinary history anonymously.

How to Run a Background Check.

  • Be sure to complete ALL three searches.
  • Find out what to do if you don’t locate your financial professional. Learn More
  • Contact your state regulator with questions. Find Your State