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Check a Security Registration

Before making an investment, it is important to make sure that the security in which you invest is appropriately filed with state and/or federal agencies. The process of filing the security with the appropriate agency is called registration. Not all securities are required to be registered; some may be exempt from registration or subject to other exceptions. This free search tool will allow you to locate registered and exempt securities and see the filing documents.

If you are unable to locate your investment through this search tool, please contact the Office of Securities at 1-877-624-8551 (toll free in Maine) or contact us by email to make sure that the investment is legitimate.

To check on the registration status of your security, please click here.

The Maine Office of Securities also encourages consumers to make sure that their financial professional is appropriately licensed in Maine. That search feature is available here.

Your inquiry costs nothing, so please...check before you invest!

 

Last Updated: May 23, 2017