Check Your Investment Professional
Investment Professional Search
Investment professionals are divided into two basic categories, brokers (agents) of a broker-dealer and investment adviser representatives of an investment adviser. The websites listed below offer information about these investment professionals that an investor might find helpful, such as:
- Civil judgments
- Criminal history
- Employment history
- Material disclosures relating to customer complaints
- Regulatory actions
- Whether the individual is registered in a given jurisdiction
If, after conducting a search, you need assistance in interpreting the information you found or you cannot find the individual or company listed, you may call our staff for further assistance.
- Financial Industry Regulatory Authority (FINRA) - Use this to obtain information on broker-dealers and brokers (agents). For a detailed list of disclosures/complaints please contact the New Mexico Securities Division.
- Investment Adviser Search - Use this to obtain information on investment advisers and investment adviser representatives.
If your investment professional does not appear under either of these internet sites, the individual may be an insurance agent marketing insurance products as investments. If so, please check with the New Mexico Securities Division.