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1. ssb.texas.gov › investors › registration-checksRegistration Checks | Texas State Securities Board

   ssb.texas.gov › investors › registration-checks

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   Check Securities Dealer or Agent Registration Status. The Financial Industry Regulatory Authority’s BrokerCheck is a database that holds licensing and registration information for registered representatives and securities dealers and brokerage firms.

2. ssb.texas.gov › securities-professionals › dealer-adviser-registrationFINRA BrokerCheck | Texas State Securities Board

   ssb.texas.gov › securities-professionals › dealer-adviser-registration

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   FINRA BrokerCheck. BrokerCheck is a free tool which is part of FINRA's ongoing efforts to help investors make informed choices about brokers and brokerage firms. BrokerCheck also provides information about formerly registered brokers who, although no longer registered in the securities industry, may work in other financial services industries.

3. ssb.state.tx.us › securities-professionals › securities-searchSecurities Search | Texas State Securities Board

   ssb.state.tx.us › securities-professionals › securities-search

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   The Authorized Securities search function allows you to search for: Issuers of securities that have been approved for registration pursuant to Sections 7.A, 7.B, or 7.C of the Texas Securities Act; and.

4. ssb.texas.govHome Page | Texas State Securities Board

   ssb.texas.gov

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   The State Securities Board is responsible for administering and enforcing the Texas Securities Act. The mission of the State Securities Board is to protect Texas investors. Consistent with that purpose, the Agency seeks to ensure a free and competitive securities market for Texas, increase investor confidence, and thereby encourage the ...

5. 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.

6. www.investor.gov › working-investment-professional › check-out-your-investmentCheck Out Your Investment Professional | Investor.gov

   www.investor.gov › working-investment-professional › check-out-your-investment

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   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.

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

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

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   A BrokerCheck report for an investment professional who is currently registered with FINRA or a national securities exchange, or who has been registered within the last 10 years, contains: A summary section that provides a brief overview of the investment professional and credentials.