Broker Dealers: Overview
By law, broker-dealers must be registered in New Mexico to do business here. Dealing with an unregistered seller or advisor greatly increases the risk of harm to you as an investor. Examinations are conducted of broker-dealers and of their offices on a regular basis and/or in response to complaints
To learn whether the broker-dealer is properly licensed here in New Mexico, visit FINRA BrokerCheck.
To check for disciplinary actions involving a broker dealer and their representatives, visit FINRA Disciplinary Actions Online Database.
ATTENTION: FINANCIAL STATEMENTS ARE NOT REQUIRED TO BE SUBMITTED ANNUALLY.
Nancy Huerta – Compliance Officer
Rosemarie Ulibarri - Compliance Manager