• Broker-Dealer Firm or Broker-Dealer Associated Person or Investment Adviser Associated Person:  To find out employment history, licensing or registration status, and disciplinary history.

1. Contact the Florida Office of Financial Regulation at 850-410-9893; or

toll free consumer helpline at 1-800-848-3792; or

2. FINRA BrokerCheck

The FINRA BrokerCheck does not report certain types of information that may be available through your state securities regulator, The Office of Financial Regulation.

• Investment Adviser Firm: To find out employment history, licensing or registration status, and disciplinary history.

1. Contact the Florida Office of Financial Regulation at 850-410-9893; or

toll free consumer helpline at 1-800-848-3792; or

2. U.S. Securities and Exchange Commission – Investment Adviser Public Disclosure System (IAPD)

The SEC IAPD system does not contain all investment advisers registered with the State of Florida.

Click here to Download Licensing Records

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