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Listed below are several sites where you will find our self-regulatory organizations (SROs) and other Federal and State Regulatory Authorities. Please feel free to visit their websites and learn more as to their function, how they serve to govern our investment activities and how they help us to serve you better. It is at these sites that you can find more information regarding our Firm and that of our representatives.
Searchable all mutual fund prospectuses and other regulatory information. The SEC is responsible for all regulations and enforcement of securities transactions. Some of these responsibilities are delegated to SROs who in turn act to enforce policies and procedures established for the fair trading and marketing of securities products.
A Self Regulatory Organization created with one purpose: to protect you the investor. You can check on any of our registered representatives through this site and by referencing their CRD number found on their business card or on their website or by contacting our Compliance Department.
A Self Regulatory Organization devoted to rulemaking procedures and establishing policies for the Municipal Securities Business.
A Self Regulatory Organization devoted to rulemaking and policy procedures rgarding Futures contracts and Commodites trading.
To access various State Regulatory Investment and Securities Divisions or to file an investment related complaint with a particular state regulator. Also provides status of various registered securities broker dealers.
A non-profit corporation created out of need to protect the investing public from failed broker dealer firms.
An organization comprised of Insurance Commissioners from all fifty (50) states for the express purpose of standardizing forms and procedures throughout the insurance industry.