Check a broker or adviser
File a public lookup packet if you are about to invest and want to check a broker or adviser.
10 min · Securities and Exchange Commission
Sign in to startIndependent · SEC
Securities Markets
You file a public lookup packet when you are about to invest and want to check a broker or adviser.
People come here to
- Check a broker before I invest
- Look up an investment adviser
- See if a firm is on the public record
Have ready
- Person or firm name
- Where they work
- Any registration number
Tasks you can file
GovOS records the packet. A live agency system is not connected in this demo.
Federal