Does the Division recommend or give ratings to securities firms and professionals?
No. The Division licenses certain securities firms and professionals, but does not recommend or rate them. The Division does, however, have access to online databases of formal disciplinary incidents of securities professionals maintained on behalf of Ohio and other States by the National Association of Securities Dealers, which is now merged into FINRA. These databases are called the Central Records Depository (CRD) and the Investment Advisor Registration Depository (IARD).
