Check on a Financial Professional

Learn more about the background of a Licensed Investment Adviser Firm, Investment Advisor Representative, or Broker-Dealer Representative.


When selecting a financial professional, it is important to do your homework first.   Considerable information is available at your fingertips regarding firms and agency representatives.  This may include information about the services they provide, licenses they may hold, products they may be authorized to sell, as well as information regarding their employment history, and consumer complaints or disciplinary history.  

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For information regarding Investment Advisers and Investment Advisor Representatives, 
access the SEC Investment Adviser Public Disclosure search tool here.

Or call N.H. Bureau of Securities Regulation at 603-271-1463 and speak to a representative.  We may be able to provide additional information regarding the firm or agent.   Please keep in mind the Bureau is unable to make any recommendations regarding the selection of a firm or representative.