To find out licensing or registration status, click on the
appropriate link for the business type:
Broker-Dealer Associated Person
FINRA BrokerCheck
The FINRA BrokerCheck
does not report certain types of information that may be
available through your state securities regulator.
Investment Adviser Associated Person
Investment Adviser Public Disclosure System (IAPD)
The SEC IAPD system does not contain all investment advisers registered with the State of Florida.
For more
detailed information (employment history and disciplinary history),
contact the Florida Office of Financial Regulation at 850-410-9893; or
toll free consumer helpline at 1-800-848-3792 (option 2)
To find out licensing information, click on the
appropriate link for the business type:
Broker-Dealer Firm/Branch
Investment Adviser Firm/Branch
For more
detailed information (employment history and disciplinary history),
contact the Florida Office of Financial Regulation at 850-410-9893; or
toll free consumer helpline at 1-800-848-3792 (option 2)