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Ask and Check

                                                                         

When Should I Contact Securities Division?

Want to check on the license status and disciplinary history of an investment adviser or securities agent?

Need to submit an investor complaint?

Need to inquire about a securities enforcement case?

Want information on how to avoid investment fraud?

Are you a financial services professional seeking licensing and registration info

 

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.

Read more about Fighting Investment Fraud by FINRA.


Fraud Prevention Center

Visit the Investor Fraud Prevention Center to learn the common investment scams and how to reduce the possibility of becoming a victim.

Review the 15 questions that can turn off a swindle to protect your money from con artists and unscrupulous investment professionals

Complete this investor checklist to make an informed investment decision.


Know More About It!

Read more about how to ask and check on an investment professional and the information you can obtain from a CRD/IARD report.

Also, you can visit SmartCheck, a resource provided by a federal government agency, the Commodities Futures Trading Commission (CFTC).

 

 

 

 

 

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