Advisers' disciplinary records now online

State securities regulators today announced a new reporting service that allows investors to check on the disciplinary records of their investment advisers online.
JUN 28, 2010
By  Bloomberg
State securities regulators today announced a new reporting service that allows investors to check on the disciplinary records of their investment advisers online. Until now, regulatory records of individuals working for investment advisory firms were not available online. These individuals, licensed as investment adviser representatives, were subject to reporting requirements similar to registered representatives, but unless they were also registered to sell securities, their records were not available online through the BrokerCheck system, the online portal run by the Financial Industry Regulatory Authority Inc. Previously, the adviser disclosure system provided instant access only to registration documents filed by registered investment advisory firms, according to the North American Securities Administrators Association Inc. Users can now go to adviserinfo.sec.gov, search individual IARs and pull up reports through BrokerCheck.

Latest News

Integrated Partners, Kestra welcome multigenerational advisor teams
Integrated Partners, Kestra welcome multigenerational advisor teams

Integrated Partners is adding a mother-son tandem to its network in Missouri as Kestra onboards a father-son advisor duo from UBS.

Trump not planning to fire Powell, market tension eases
Trump not planning to fire Powell, market tension eases

Futures indicate stocks will build on Tuesday's rally.

From stocks and economy to their own finances, consumers are getting gloomier
From stocks and economy to their own finances, consumers are getting gloomier

Cost of living still tops concerns about negative impacts on personal finances

Women share investing strengths, asset preferences in new study
Women share investing strengths, asset preferences in new study

Financial advisors remain vital allies even as DIY investing grows

Trump vows to 'be nice' to China, slash tariffs
Trump vows to 'be nice' to China, slash tariffs

A trade deal would mean significant cut in tariffs but 'it wont be zero'.

SPONSORED Compliance in real time: Technology's expanding role in RIA oversight

RIAs face rising regulatory pressure in 2025. Forward-looking firms are responding with embedded technology, not more paperwork.

SPONSORED Advisory firms confront crossroads amid historic wealth transfer

As inheritances are set to reshape client portfolios and next-gen heirs demand digital-first experiences, firms are retooling their wealth tech stacks and succession models in real time.