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Are there web sites to check the licensing of financial advisers and brokers in Oregon?

April 26, 2017advisers brokers financial licensing Oregon web sites

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Are there web sites to check the licensing of financial advisers and brokers in Oregon?

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Kevin Anselm: Yes. To see if a broker firm and its representatives are licensed to do business in Oregon, click here to access the Financial Industry Regulatory Authority (FINRA) web site. To check on investment firms and advisers, click here for the U.S. Securities and Exchange Commission. Firms and advisers operating in Oregon – with certain exceptions – are required to be licensed with us — the Oregon Division of Finance and Corporate Securities. Click here to check for if they are registered. If you have any difficulty finding a person or firm, call us at 1-866-817-9710 or e-mail us at dcbs.dfcsmail@state.or.us.