Verify a Securities Professional
To find out whether a specific investment professional is registered in Vermont use FINRA's Broker Check to look up a firm or individual.
FINRA Broker Check
Violations or Complaints
To find out whether a specific investment professional has any known history of violations or complaints search the SEC website or contact the Securities Division.
SEC Investment Adviser Public Disclosure
For a history of violations or complaints with the division, or if you have questions or concerns regarding your broker-check research, please call us at 802-828-3420 or 877-550-3907. We can also be reached via email at firstname.lastname@example.org.