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:

Investment Adviser Search

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.

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