Investment License Lookup

Before investing make sure to verify the license of the individual selling the investment and make sure the investment itself is registered to be sold in washington. Use the search engines below to find facts about an investment professional s background.

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Investment adviser public disclosure iapd search your investment professional s background.

Investment license lookup. Enter their name in our investment adviser public disclosure iapd website to see if they re registered. Office of financial regulation. Bdia is headed by a deputy commissioner and is responsible for the licensing and regulation of broker dealers broker dealer agents investment advisers and investment adviser representatives pursuant to the corporate securities law of 1968.

Most online search engines then allow you to narrow your search by geographic location areas of expertise or compensation method. Fifteen to twenty minutes of time spent online is a great investment when you re hiring someone to work with your finances. In the text box type the full name or part of the name of the entity you wish to find.

Gaines street tallahassee fl 32399. The broker dealer and investment adviser division bdia is an operational division under the california corporations commissioner. The series 7 is the gold standard of financial advisor licenses.

Choose the appropriate sector from the drop down box or choose all to search for the entity in all sectors. Search here for entities entitlements that are currently licensed or registered by the cayman islands monetary authority. You can also check out whether they ve ever been in trouble with securities regulators.

To verify the registration status of a particular individual or business please identify the license type and click the appropriate link. Dfi online licensee database certain investment offerings and financial services professionals and or businesses are required by state law to be registered or licensed with dfi for consumer protection. Brokercheck is a trusted tool that shows you employment history certifications licenses and any violations for brokers and investment advisors.

License fee payment according to fees guideline which is based on the type of business activity and amount of initial investment. Don t skimp on these types of background checks. According to article 109 of the income tax law if an investor has already obtained a license from aisa he she must clear all tax obligations of that license till the end of last fiscal year.

It s a red flag if they re not. Series 7 license. Also administered by finra this license enables an advisor to sell nearly every type of investment product.

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