{"id":11,"date":"2022-12-12T03:41:43","date_gmt":"2022-12-12T03:41:43","guid":{"rendered":"http:\/\/secadvisorsearch.local\/?p=11"},"modified":"2022-12-12T06:40:15","modified_gmt":"2022-12-12T06:40:15","slug":"where-can-i-get-background-checks-on-financial-advisors","status":"publish","type":"post","link":"http:\/\/secadvisorsearch.local\/where-can-i-get-background-checks-on-financial-advisors\/","title":{"rendered":"Where Can I Get Background Checks On Financial Advisors?"},"content":{"rendered":"\n<p><strong>SEC Investment Adviser Public Disclosure (IAPD) Database<\/strong><\/p>\n\n\n\n<p>Registered investment advisors (RIAs) and investment firms who manage over $100 million in assets must register with the U.S. Securities and Exchange Commission.<br><a href=\"http:\/\/www.adviserinfo.sec.gov\/IAPD\/Content\/Search\/iapd_Search.aspx\">SEC IAPD search<\/a><\/p>\n\n\n\n<p><strong>FINRA BrokerCheck Database<\/strong><\/p>\n\n\n\n<p>FINRA is the investment industry\u2019s self-regulatory organization and it maintains a searchable database of approximately 4,430 brokerage firms and 629,530 registered securities representatives.<br><a href=\"http:\/\/www.finra.org\/Investors\/ToolsCalculators\/BrokerCheck\/\">FINRA BrokerCheck search<\/a><\/p>\n\n\n\n<p><strong>State Securities Regulators<\/strong><\/p>\n\n\n\n<p>Financial advisors who are not required to register with the SEC are still required to register with their state\u2019s regulatory agency. The North American Securities Administrators Association (NASAA) maintains a list of those agencies with links to their searchable databases.<br><a href=\"http:\/\/www.nasaa.org\/about-us\/contact-us\/contact-your-regulator\/\">NASAA list of state regulators<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>SEC Investment Adviser Public Disclosure (IAPD) Database Registered investment advisors (RIAs) and investment firms who manage over $100 million in assets must register with the U.S. Securities and Exchange Commission.SEC IAPD search FINRA BrokerCheck Database&#8230;<\/p>\n","protected":false},"author":1,"featured_media":0,"comment_status":"closed","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[4],"tags":[],"_links":{"self":[{"href":"http:\/\/secadvisorsearch.local\/wp-json\/wp\/v2\/posts\/11"}],"collection":[{"href":"http:\/\/secadvisorsearch.local\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"http:\/\/secadvisorsearch.local\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"http:\/\/secadvisorsearch.local\/wp-json\/wp\/v2\/users\/1"}],"replies":[{"embeddable":true,"href":"http:\/\/secadvisorsearch.local\/wp-json\/wp\/v2\/comments?post=11"}],"version-history":[{"count":1,"href":"http:\/\/secadvisorsearch.local\/wp-json\/wp\/v2\/posts\/11\/revisions"}],"predecessor-version":[{"id":12,"href":"http:\/\/secadvisorsearch.local\/wp-json\/wp\/v2\/posts\/11\/revisions\/12"}],"wp:attachment":[{"href":"http:\/\/secadvisorsearch.local\/wp-json\/wp\/v2\/media?parent=11"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"http:\/\/secadvisorsearch.local\/wp-json\/wp\/v2\/categories?post=11"},{"taxonomy":"post_tag","embeddable":true,"href":"http:\/\/secadvisorsearch.local\/wp-json\/wp\/v2\/tags?post=11"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}