Resources

While BrokerCheck can be very helpful in alerting you to other customer complaints against a broker (assuming the broker properly reported them), what BrokerCheck does NOT tell you, for example, is whether the broker was ever fired from a job or if he or she filed bankruptcy.  

Tracy Pride Stoneman, Securities Arbitration Attorney

Disclaimer: BrokerCheck is by no means a complete report on all the information FINRA has about the stockbroker.


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NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION

Contact State Regulators- 

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INVESTMENT ADVISER - 

Search for an Investment Adviser Firm and Individual Investment Representative currently registered with the SEC and State Securities Regulators

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INVESTMENT ADVISER DATA -

  • SEC Investment Advisers Report
  • State Investment Advisers Report
  • Investment Adviser Representative Report

Investment adviser's reportLatest Report - Download available


U.S. SECURITIES EXCHANGE COMMISSION 

To protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.

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FINRA SCAM METER

While there's no clear way to know, in just four questions our Scam Meter will help you tell if an investment you are thinking about might be a scam.

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PROFESSIONAL DESIGNATIONS 

FINRA’s glossary of securities industry’s professional initials for individuals and firms.

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Regulatory Agencies

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Regulatory Compliance

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Contact Ms. Stoneman - Stoneman Law Offices - Texas & Colorado. (719) 783-0303 Free Consultation - Representing Clients Nationwide