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Maine.gov> PFR Home > Securities Home Page > Check a Licensee

Check a Broker or Adviser

Before you decide to use any financial professional, you should make sure that person is properly licensed to do business in Maine.

The easiest way is to call our office at 1-877-624-8551 (toll free in Maine), or contact us by email.

We can also provide you with very useful information about your broker or adviser to help you determine whether or not to use them, including:

  1. whether or not they have ever been the subject of any disciplinary proceeding;
  2. what investment products they are licensed to sell;
  3. how long they have been in the securities industry; and
  4. whether or not they hold a professional designation.

You may also visit the following websites for information on your financial professional:

For broker-dealers and broker-dealer registered representatives:
http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/index.htm

For SEC-registered and/or state-licensed investment advisers:
http://www.adviserinfo.sec.gov/IAPD/Content/Search/iapd_OrgSearch.aspx

For Maine-licensed investment advisers:
You may also call us by phone: 1-877-624-8551 or contact us

You may also call us to check out a financial professional that you are already working with, or to check that the investment itself is properly registered or exempt from registration.

Your inquiry costs nothing and is completely confidential, so please...check before you invest!


 

Last Updated: June 17, 2013