Check out your investment broker, firm, salesperson or adviser.
The industry that sells securities - or investments - is large and varied. There
are Oregon-based firms and national firms with Oregon offices. There are others that conduct
business outside the state by mail, over the phone, or on the Internet.
No matter where the companies are from, it's important to make sure the firm
and the representative is properly licensed. Here's how to check:
Broker firms and their representatives.
The Financial Industry Regulatory Authority (FINRA) has a database that indicates if a broker
firm and its representatives are licensed to do business in Oregon. The database is also linked
to the representatives' employment and disciplinary history. Click
Investment Firm and Advisers.
Firms and advisers operating in Oregon - with certain exceptions - are required to be licensed
with us -- the Oregon Division of Finance and Corporate Securities. We review investment adviser
the qualifications of their principals;
the disciplinary history of both the principals and their advisory representatives
thet adequacy of the disclosure they are required to provide clients;
and proof that both the principals and advisory representatives have taken
the appropriate examinations, including those for designations (such asChartered Financial
Analyst [CFA], Certified Financial Planner [CFP], Chartered Financial Consulant [ChFC], Chartered
Investment Counselor [CIC], and Personal Financial Specialist [PFS] ).
To check whether an investment firm is registered with us, click
To verify if an investment advisory representative is licensed with us, call
us at 1-866-814-9710.
The Securities and Exchange Commission (SEC) also registers investment firms
and advisers. You may check with them by clicking
If you are unable to find the person or firm you are searching,
please contact us toll-free in Oregon at 1-866-814-9710.