Verify Licensed Professionals
Check Your Investment Professional
Investment Professional Search
Investment professionals are divided into two basic categories, brokers or agents of a broker-dealer and investment adviser representatives of an investment adviser. The websites listed below offer background information, such as:
- Civil judgments
- Criminal history
- Employment history
- Liens
- Material disclosures relating to customer complaints
- Regulatory actions
- Whether the individual is registered in a given jurisdiction
Information on broker-dealers and brokers (agents):
Financial Industry Regulatory Authority
Information on investment advisers and investment adviser representatives:
If you cannot find the individual or company listed or if you need assistance in interpreting the information you found, contact the New Mexico Securities Division for further assistance.