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

Check a Licensee

Before you decide to use any financial professional, you should call our office first at 1-877-624-8551 (toll free in Maine) or 207-624-8551. We can tell you if that person is licensed to conduct business in Maine. We can also provide you with very useful information about the financial professional to help make your decision about whether or not to use them, such as:

  1. whether or not they have ever been the subject of any disciplinary proceeding;
  2. what exams they have taken;
  3. whether or not they hold a professional designation; and
  4. how long they have been in the securities industry.

You may also call us to check out a financial professional that you already are working with.


 

Last Updated: April 28, 2008