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Securities & Investment Regulation
OTHER PFR AGENCIES
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.
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:
You may also visit the following websites for information on your financial professional:
For broker-dealers and broker-dealer registered representatives:
For SEC-registered and/or state-licensed investment advisers:
For Maine-licensed investment advisers:
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: July 10, 2012
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