Important Notice: Our web hosting provider recently started charging us for additional visits, which was unexpected. In response, we're seeking donations. Depending on the situation, we may explore different monetization options for our Community and Expert Contributors. It's crucial to provide more returns for their expertise and offer more Expert Validated Answers or AI Validated Answers. Learn more about our hosting issue here.

HOW DOES AN INVESTOR FIND OUT INFORMATION ABOUT A SECURITIES BROKER-DEALER OR AN AGENT?

April 26, 2017agent broker-dealer investor securities

0

Posted

HOW DOES AN INVESTOR FIND OUT INFORMATION ABOUT A SECURITIES BROKER-DEALER OR AN AGENT?

1 Answer

0

Posted

The Department of Corporations maintains a separate broker-dealer unit in the Securities Regulation Division. Members of the public can contact them and request the licensing status on a broker-dealer and can be provided with the Central Registration Depository (CRD) information on the broker-dealer or agent, including their work history and any disciplinary history. The CRD information may also be obtained from the Financial Industry Regulatory Authority, which also provides members of the public with the licensing and disciplinary information that is available.