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Ask and check before you invest!

Ask & Check!


FINRA BrokerCheck
FINRA

With FINRA BrokerCheck, you can get background and license info about an investment adviser or securities agent, commonly known as a stockbroker.

As an online resource, you can conduct a background check of an investment professional and the company with a CRD/IARD report from the Financial Industry Regulatory Authority's BrokerCheck. For investment advisers and their representatives, visit the Investment Adviser Public Disclosure (IAPD) database.

NOTE:  When conducting your search, look for public disclosures regarding both the individual and the company as the company may have legal actions taken against it.

MI Investor Guide

NEW MI Investor Guide

Our goal in providing this Guide is to help you become an informed, educated investor. Included are clear explanations of the types on investments you may consider, strategies to manage investment risk, and information about investing with the goal of building a financially secure retirement. Equally important is information that will help you to protect yourself against financial fraud and make knowledgeable decisions about higher-risk investments. In addition to detailing common warning signs of fraud and what to do if you suspect a violation of the law, we have highlighted some specific investment threats facing Michigan investors and how to avoid them.

MI Investor Guide

Spotlight

Online Dating Scams

 

Millions of people use online dating apps or social networking site to meet someone. But instead of fining romance, many encounter scammers attempting to deceive them into sending money. For more information, go "Are You an Informed Investor? Don't Get Swept Away by a Romance Scam" and "Online Dating Scams". 

Picture of Finra 101

 

FINRA 101 is a video series that dives into who FINRA is and the financial education they provide to the public. The series will cover topics such as how to spot a romance scam to the origins of FINRA and how they operate.

                                        Investor Resources for the Prevention of Fraud

        Ask and Check

Ask and Check

    Adults and Families

Adults and Family

       Cryptocurrency

Cryptocurrency

Fraud Prevention Center

Fraud Prevention Center

              Military

Military

    Retirement Ready

Retirement Ready

Students and Educators

Student and Educators

MI Financial Empowerment

MI Financial Empowerment

              Videos

Videos

Podcast Icon

"The Alert Investor" Series

A series of podcasts produced by North American Securities Administrators Association (NASAA) to provide investors with investor protection news and information. NASAA is pleased to provide The Alert Investor, a series of succinct, two-to-three minute, investor education podcasts.

The series is a resource for you to learn about investing wisely, avoiding fraud and how to exercise your rights as an investor. The Alert Investor is an ongoing series addressing timely topics for investors of all ages.

 

Quick Links

Filing a Complaint with MiCLEAR                                NASAA Investor Agent Representative Continuing Education Course

What Happens Next logo                                                            Welcome I Invest Too - Serving Neurodivergent Clients Course

 

The information provided on this website is not comprehensive, is not offered as legal or investment advice, and is not a substitute for competent legal or financial counsel. The Securities Division provides this information to give you an overview of the topics discussed. You should not rely on the accuracy of this information but should carefully review all applicable statutes and regulations with the assistance of legal counsel.

Contact Us:
Department of Licensing and Regulatory Affairs (LARA)
Corporations, Securities & Commercial Licensing Bureau (CS&CL)
Securities and Audit Division
Address:  PO Box 30018, Lansing, MI 48909
Overnight Mail (FedEx/UPS): 2407 N. Grand River Ave, Lansing, MI 48906
Phone: (517) 335-5237
Fax:  
(517) 763-0039
Email: LARA-CSCL-Securities-Audit@michigan.gov