Check Securities Dealer or Agent Registration Status
The Financial Industry Regulatory Authority’s BrokerCheck is a database that holds licensing and registration information for registered representatives and securities dealers and brokerage firms. BrokerCheck does not always provide a complete record, but in most cases it will include employment history; disciplinary actions that have been taken by federal, state, and self-regulatory organizations; whether the broker or agent holds other professional designations; civil judgments and arbitrations in securities disputes; bankruptcy filings; and outstanding liens.
The information presented in BrokerCheck is based on information from the WEBCRD system, a joint registration data system used by the SEC, state securities regulators and FINRA. The disclosure information from the FINRA Public Disclosure Program does not contain all of the disclosure information from the WEBCRD system. If you wish to obtain all of the information from the WEBCRD system, please contact our Registration Division at (512) 305-8300, or email your request.
Check Investment Adviser Registration Status
The IAPD Website link will take you to the Investment Adviser Public Disclosure (IAPD) system. The IAPD system is a joint project between the Securities and Exchange Commission, state securities regulators, and the Financial Industry Regulatory Authority (FINRA). The IAPD system contains information from Parts I and II of the Form ADV as entered by the advisory firm as well as information about the firm's investment adviser representatives who have been authorized to provide investment advisory services to Texas residents.
If you fail to find any record of registration on your adviser, contact our Registration Division at (512) 305-8300 or email your request.