Securities

Investment Adviser Public Disclosure allows you to search for information about an Investment Advisor firm or investment adviser representative. Here you can view current registrations, employment history, and disclosures about certain disciplinary events involving firms and individuals.

The SEC Company Filings Search page allows you to search information collected by the SEC by Company or fund name, ticker symbol, Central Index Key (CIK), and more.

Finally, since annuities are regulated as insurance products in North Carolina, consumers should check the registration status of their agent with the North Carolina Department of Insurance.

If you have additional questions about a registration, give us a call at 919-814-5500.

File a Complaint

Select File a Complaint. This takes you to the Forms page where they can find a collection of complaint forms.

Here’s a summary of the File a Complaint page on the North Carolina Securities Division website: