While the vast majority of the stockbrokers, brokerage firms, investment advisers and investment adviser firms are honest and reputable, just like many other professions, there are those individuals and firms who are not.
The New Jersey Bureau of Securities strongly recommends that you look-up and review the registration records of your investment professional
and his/her employer
prior to making any sort of investment. Through the link below, you can access extensive employment, disciplinary, and registration information about your investment professional. Make sure that the investment professional is registered in the state in which you reside and review any adverse information that may have been filed against the investment professional or his/her employer. The Bureau can help you interpret the information once you obtain it.
To begin your review click
Be sure to
ALSO review whether the Bureau has filed an action against your professional or firm by searching the
We have created a
Check Before Your Invest Form to assist you in your review of your investment professional.
If you have questions regarding the information obtained through the links above, if you cannot find the person or firm you are working with after checking all of the above links, or if you do not know whether your investment professional is an agent, broker-dealer, investment adviser representative or an investment adviser, please
To obtain a more complete report on the background of your financial professional, please complete and submit this
Information Request Form.