Securities

Securities Online Services

For this section of the manual, we are going to focus on the online services section of the Securities main page. The five blue action buttons beneath the stock image direct the user to the online services.

Check a Registration

Select Check a Registration.

This takes you to the Check a Registration (sosnc.gov) page. Securities firms, stock brokerages, and investment advisers must be registered with the Securities Division to conduct business in North Carolina.

Investors can contact the Securities Division to find out if a financial services professional is registered by the state.

Why is this registration important?

Registration protects investors from potentially fraudulent individuals who take advantage of investors.

Call (919) 814-5400 or (800) 688-4507 to speak with Securities staff. They can verify the registration status of investment professionals. There is no one-size-fits-all registration that covers insurance agent, stock broker, commodities dealer, and investment adviser, so it’s best to call the Securities Division. They have the resources to check for all registrations.