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Links to Regulators

Be sure to check the compliance records of financial advisors BEFORE turning your assets over to them!

We have provided you with links to four agencies that oversee the licensing and regulation of financial advisors. The NASAA and NAIC are associations of state regulators. Their websites provide valuable educational content for investors and links to the websites of state regulators.

• Financial Industry Regulatory Authority (FINRA)-A self-regulatory organization, the financial services industry regulates itself, that oversees the activities of professionals who hold securities licenses. It also provides Registered Investment Advisor information on behalf of the Securities & Exchange Commission (SEC).
  • www.finra.org
  • http://www.finra.org/Investors/ToolsCalculators/
    BrokerCheck/index.htm

• Securities & Exchange Commission-Regulates the activities of Registered Investment Advisors and the securities markets.
  • www.sec.gov

• North American Securities Administrators Association-National association of state securities commissioners.
  • www.nasaa.org

• National Association of Insurance Commissioners-National association of state insurance commissioners.
  • www.naic.org