Securities
Athlete Agents
The Athlete Agent Registration page has five tiles with links and other information that is helpful for athlete agents in North Carolina.
The five tile links are:
- List of Athlete Agents
- FAQ for Athlete Agents
- Registration Requirements
- NC Uniform Athlete Agents Act
- Athlete Agent Registration Forms
Request a Speaker
This takes you to an email link for [email protected]. This is the contact email for the Securities Division.
For Professionals and the Industry
IA’s/BD’s
Under IA’s/BD’s, brokers can select the Check a Registration link. This link takes them to the Check a Registration page.
BA or BD A broker-dealer (BD) is a firm who buys or sells securities for their own account or on behalf of customers. It’s mostly used to describe stock brokerages. They act as both agents and principals. An individual who works for a firm like this is known as a broker-dealer agent. A stock brokerage acts as an agent or broker to execute orders on behalf of clients.
It’s important as an investor to ensure that you’re dealing with a reputable financial professional. The best way to do that is to Check a Registration.
Sometimes, you may need to check more than one registration for an entity. If this is the case, it’s best to call the Investor Hotline at (919) 814-5400 or (800) 688-4507. Our team can help you check all registrations for an individual or firm with whom you’re about to invest.