Securities Broker Check
To learn whether your investment professional is properly licensed here in New Mexico, visit http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/ for brokers or http://www.adviserinfo.sec.gov/IAPD/Content/IAPDMain/iapd_SiteMap.aspx for investment advisers.
To view a history of disciplinary actions involving a broker or investment firm, visit http://www.finra.org/Industry/Enforcement/DisciplinaryActions/FDAS/.