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1. adviserinfo.sec.govIAPD - Investment Adviser Public Disclosure - Homepage

   adviserinfo.sec.gov

   You can search for an Investment Adviser firm on this website and view the registration or reporting form ("Form ADV") that the adviser filed. This website will also search FINRA's BrokerCheck system and indicate whether an entity is a Brokerage firm. Investment advisers file Form ADV to register with the SEC and/or the states.

   • Resources

     IAPD provides information on Investment Adviser firms...

   • The Carlyle Group

     The Carlyle Group - IAPD - Investment Adviser Public...

   • Harbourvest Partners, LLC

     Harbourvest Partners, LLC - IAPD - Investment Adviser Public...

   • Capital One Advisors, LLC

     IAPD provides information on Investment Adviser firms...

   • Pinebridge Investments LLC

     Pinebridge Investments LLC - IAPD - Investment Adviser...

   • Lpl Financial LLC

     Lpl Financial LLC - IAPD - Investment Adviser Public...

   • Edward Jones

     Edward Jones - IAPD - Investment Adviser Public Disclosure -...

   • Francisco Partners

     Francisco Partners - IAPD - Investment Adviser Public...

2. brokercheck.finra.orgBrokerCheck - Find a broker, investment or financial advisor

   brokercheck.finra.org

   BrokerCheck tells you instantly whether a person or firm is registered, as required by law, to sell securities (stocks, bonds, mutual funds and more), offer investment advice or both. BrokerCheck gives you a snapshot of a broker's employment history, regulatory actions, and investment-related licensing information, arbitrations and complaints.

3. adviserinfo.sec.gov › firmIAPD - Investment Adviser Public Disclosure - Homepage

   adviserinfo.sec.gov › firm

   IAPD provides information on Investment Adviser firms regulated by the SEC and/or state securities regulators

4. www.finra.org › investing › working-with-investment-professionalAbout BrokerCheck - FINRA.org

   www.finra.org › investing › working-with-investment-professional

   • Zapisane w pamięci cache

   BrokerCheck is a free tool from FINRA that can help you research the professional backgrounds of investment professionals, brokerage firms and investment adviser firms. Both brokerage firms and individuals must be registered with FINRA to conduct securities transactions and business with the investing public.

5. www.investor.gov › introduction-investing › getting-startedCheck Out Your Investment Professional | Investor.gov

   www.investor.gov › introduction-investing › getting-started

   • Zapisane w pamięci cache

   There you can find out if your investment professional and his/her firm is licensed with the SEC, with a state(s), and/or with FINRA (the Financial Industry Regulatory Authority). You can also learn about any disciplinary history the investment professional or his/her firm may have.

6. www.investor.gov › introduction-investing › general-resourcesHow to Use the Investment Professional Search Tool on...

   www.investor.gov › introduction-investing › general-resources

   • Zapisane w pamięci cache

   6 sie 2020 · The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to show investors how to use Investor.gov’s free and easy search tool to help you check out brokers and investment advisers.

7. adviserinfo.sec.gov › compilationIAPD - Investment Adviser Public Disclosure - Homepage

   adviserinfo.sec.gov › compilation

   2 dni temu · You can view an SEC-registered investment adviser, SEC Exempt Reporting Adviser, or State-registered adviser's most recent Form ADV online by clicking on the Investment Adviser Search link on the left navigation panel of this page.