Securities

Call the Securities Division to Check a Registration

The Securities Division always recommends that investors call our Investor Hotline at 919-814- 5400 or 800-688-4507 and speak with a representative who can verify the registration status of investment professionals, firms and/or products. Investors should understand that there is no single registry for all professionals and offerings. While a single individual may be registered as an insurance agent, a stock broker, a commodities dealer, and an investment adviser, no one registry will display this information. Investors must check multiple databases. That is why we suggest investors call our hotline.

The page offers a list of securities checker sites for consumers who want to do their own research.

The following links are listed:

SmartCheck.gov is maintained by the US Commodity Futures Trading Commission (CFTC). The CFTC has compiled links to the various registries and posted these links on their website. Their site, therefore, is designed to be a one-stop website for investors to check the different registration databases for stock brokers, investment advisers, commodities brokers and investment offerings.

BrokerCheck, also available as a link from SmartCheck.gov, is FINRA's online search tool that allows anyone to research the registration status of securities dealers and salesmen. In many cases, BrokerCheck will provide you with a report that contains the same public information that is available through our office including current registrations, employment history, and disclosures about certain disciplinary events.