Spotlights

BrokerCheck

For information regarding broker-dealer firm representatives, access the FINRA BrokerCheck Broker-Dealer Representative search tool here:
 

Goals of Investor Protection

One goal of InvestSmartNH is to provide Seniors with information about how to avoid investment scams and protect their assets.

Perform Your Own Independent Research on a Representative

Unfortunately, some financial professionals may have a disciplinary record - whether it’s a customer complaint, bankruptcy, lien, civil judgment, or a regulatory action taken by the New Hampshire Bureau of Securities Regulation, FINRA, or the Securities Exchange Commission.  Most of this information about the representative is available for review at Brokercheck.org or by calling a representative at the New Hampshire Bureau of Securities Regulation at 603-271-1463.

Always investigate before you invest!