Financial advisor license lookup


Check a financial adviser | ASIC's MoneySmart
Want to find out how to check if a financial adviser licensed? Visit ASIC's MoneySmart website to learn more.

Florida Office of Financial Regulation
The OFR public license search contains information about businesses and individuals regulated by the Office of Financial Regulation, excluding.

AFS licensees | ASIC - Australian Securities and ...
To conduct a financial services business in Australia, you must have an Australian Financial Services (AFS) licence. How to apply and what you need to know.

Division of Securities | Department of Regulatory …
Division of Securities; ... Investment Advisers & Investment Adviser Representitives; Broker-Dealer Representitives; Consumer Resources. Investors Guide; F ile a.

Verify an Individual's CFP(R) Certification and Background
Verify an Individual’s CFP® Certification and Background. ... The verification function below will allow you to verify an individual’s certification status.

IAPD - Investment Adviser Public Disclosure - Homepage
You can search for an Investment Adviser firm on this website and view ... registration and licensing ... using the Investment Adviser Public.

Breaking Down Financial Securities Licenses - Investopedia
Video embedded · Sophisticated content for financial advisors ... The majority of financial and investment companies that hire or train new advisors will have a mandatory licensing.

Search For FSP No - Financial Services Board
Search For FSP No Search For ... The information of the persons contained on the list must be verified with search on the person ID number. The Financial Services.

Institutions We Supervise and Licensee Search - Industry ...
Occupational & Professional Licensing; ... the Maryland Office of the Commissioner of Financial Regulation. Licensed ... Search For Other Financial.

Texas State Securities Board - Official Site
Keywords Search. Contact Us; Sign Up ... an investment adviser and former certified financial planner in The Woodlands, ... More About the Texas State Securities Board.

License Search - California
License Search; Search for a Financial Services and Mortgage Lending Licensees. PLEASE NOTE: This search includes records for the following licensees.

Financial Regulation Division
Financial Regulation Division. Agent / Adjuster Information; Captives; Company Annual Statements at NAIC; Company Licensing & Registration; Datacalls; Filing Smart.

California Department of Business Oversight
State Licensed Investment Adviser . ... Exemptions from the licensing ... to the best knowledge and belief of the person making the verification, that the financial.

Securities - TN.Gov
In this country, regulation of the securities industry is a shared effort among federal, state, and self-regulatory agencies. The Tennessee Securities Division is.

California Real Estate & Financial Services License Status ...
Multiple Jurisdiction License Lookup: This lookup will search licensing information for the ... of the California Real Estate and Financial Service.

Verify a License - Florida Office of Financial Regulation
Welcome to the Florida Office of Financial Regulation Web ... Verify A License: ... Investment Adviser Firms/Branches; Search the Nationwide Mortgage Licensing.

California Department of Business Oversight
Check out your Investment Adviser! ... Contains helpful questions to consider when working with a financial services ... On the "Investment Adviser Search.

BrokerCheck Search Help |
BrokerCheck Search Help. How to Search ... The individual is not included in BrokerCheck or the Securities and Exchange Commission’s Investment Adviser ….

SOS: Search the Database -
Breadcrumbs. Securities Division; Current: Search the Database Search the Database . When it comes to protecting your hard-earned savings, you can never be too careful.

Professional Designations - A -
Professional Designations - A. Use this tool to decode the letters that sometimes follow a financial professional’s name. ... Accredited Portfolio Management Advisor.