Before you Invest
Check out your Securities Firm or Salesperson
To check whether an investment, investment professional or firm is registered
call our Consumer Helpline at 1-800-848-3792 and select option 2.
If you are considering investing with a securities broker ask about a
salesperson’s registration and disciplinary history. You may also wish to
periodically check a broker’s record for disciplinary or registration updates.
FINRA
BrokerCheck is a free online tool to help investors check the professional
background of current and former FINRA-registered securities firms and brokers.
FINRA
BrokerCheck does not provide information as in depth as OFR will supply.
Check out your Insurance Salesperson
To check whether an insurance professional or firm is registered call the
Department of Financial Services Consumer Helpline at 1-877-693-5236 or conduct
your own license search at
DFS Licensee Search.
The DFS licensee search can provide names and addresses of (Insurance)
licensees with at least one active license in the state of Florida. The web
search does not include disciplinary information, so please contact
1-877-693-5236 for additional information regarding Insurance licensees.
Securities Offering
The SEC’s
EDGAR database provides free public access to corporate information,
allowing you to quickly research a company’s financial information and
operations by reviewing registration statements, prospectuses and periodic
reports filed on Forms 10-K and 10-Q. You may wish to contact the SEC
Information Line at 1-888-SEC-6585 with questions regarding SEC filings. You
may also contact OFR to inquire about securities offerings filed at the state
level.
Investment Adviser
The SEC’s
IAPD database provides free public access to an Investment Adviser’s latest
form ADV filing. FORM ADV includes registration and disciplinary information,
as well as, information about the Investment Adviser’s advisory business. You
may wish to contact the SEC with additional questions regarding SEC registered
Investment Advisers. You may wish to contact OFR with questions or concerns
regarding state covered Investment Advisers. *You can verify an Investment
Adviser’s registration status on form ADV under the heading “Registration
Status”.
Commodities and Futures Firms or Salesperson
NFA’s
Background
Affiliation Status Information Center (BASIC) contains CFTC registration and
NFA membership information and futures-related regulatory and non-regulatory
actions contributed by NFA, the CFTC, and the U.S. futures exchanges. You may
wish to contact NFA at (312) 781-1300 or the CFTC at 866-366-2382 for additional
information regarding the commodities and futures markets.
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