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Division of Securities & Retail Franchising
Broker Dealer Firms/Investment Advisor Firms
 
Search criteria is sensitive to spacing and punctuation. Search requests without proper punctuation may result in a "No Records Found" message. Search criteria is not case sensitive. If you are unsure of the complete name of the security, firm or individual for which you are looking, the "%" sign may be used to expand your search. For example, Asset% will return any record beginning with the word "Asset". %Asset% will return any record containing the word "Asset".
 
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Firm Name
Last Name
First Name
Issuer
Franchisor Name
Franchise Name
Mark
Owner
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Check Out Your Broker-Dealer, Agent, Investment Advisor, and/or Investment Advisor Representative
Before you invest check the registration status and background of your broker-dealer and agent, or your investment advisor and representative by clicking one of the links below.

  • Broker-Dealers and Agents
    The Financial Industry Regulatory Authority (FINRA), formerly NASD, provides a searchable database that provides information about FINRA member broker-dealers and their agents. Access the FINRA database.
  • Investment Advisors and Representatives
    The U.S. Securities and Exchange Commission provides the public access to information about an investment advisor and its representative, its business operations, and certain disciplinary events through its Investment Advisor Public Disclosure (IAPD) database. Access the IAPD database.

For questions regarding the registration status and/or disciplinary history of broker-dealers, agents, investment advisors, and investment advisor representatives, please contact a member of the Registration section's staff at (804) 371-9187 or SRF_registration@scc.virginia.gov.