Project Description

Adviser Check is a Capital Oversight service solution to assist investors, in the research and authentication the professional backgrounds of brokerage firms and brokers currently or formerly registered with FINRA or a national securities exchange, as well as current or former investment adviser firms and representatives.

Adviser Check information is drawn from filings by regulators, firms and investment professionals. It includes current licensing status and history, employment history and, if any, reported regulatory, customer dispute, criminal and other matters. It should be the first resource investors turn to when choosing whether to do business or continue to do business with a particular firm or individual.

With AdviserCheck, you will get:

• Information about brokers and brokerage firms

• information about investment adviser firms and representatives

• Obtain online background reports, (if available*)

• Educational information for investors

In addition to providing information about investment adviser representatives currently registered with a state securities regulator, Adviser Check also includes individuals who:

• have been registered with a state securities regulator within the last ten years, or

• (1) have ever been the subject of a final regulatory event,

(2) convicted of orpled guilty or no contest to a crime,

(3) have been the subject of a civil injunction or civil court finding involving a violation of any investment-related statute(s) or

regulation(s), or

(4) have been a respondent or defendant or the subject of an arbitration or civil litigation which resulted in an award, decision, or judgment for a customer that has been reported on a registration form.