Check out your Broker or Adviser

Use The Investor Protection Hotline
The Secretary of State’s toll-free Investor Protection Hotline (800-721-7996) has been established for reporting complaints or making inquiries about broker-dealers, agents, investment advisers, investment adviser representatives, or general securities violations.

Official Online Resources
In addition to using our toll-free Hotline to check the credentials and professional history of your broker or adviser, you may wish to check with the Financial Industry Regulatory Authority (“FINRA,” formerly the NASD). FINRA’s BrokerCheck program allows investors to check the registration and professional background of FINRA-registered firms and agents on-line.

Because of the limited nature of information that is contained on this on-line search, investors may wish to also call at 1-800-721-7996. The Securities Division will provide additional information about your broker, including regulatory actions that have been taken against the broker and investor complaints that have been reported to the Central Registration Depository.

To find out about an investment firm you may go to the SECs website.

Additional Investor Protection Center Materials
The Securities Division of the Missouri Secretary of State's Office offers several publications to help investors protect themselves against fraudulent investment schemes. The Missouri Investor Bill of Rights contains information regarding your rights as an investor and the Variable Annuities: A Guide for Investors examines the questions you should consider before investing in a variable annuity.

View the Securities Division's complete list of publications for investors.