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  • Before you meet with or invest any money with a financial professional or firm, request a FREE background check from the PA Securities Commission. 
  • You will receive applicable employment history, disciplinary history, criminal indictments/convictions, civil judgments involving public customers, fines, settlements and regulatory actions.
  • This procedure allows you to confirm the professional or entity is appropriately registered (as required by law) with the PA Securities Commission and/or the U.S. Securities & Exchange Commission.
STEP 1:

To Check A Financial Professional’s Background And Registration:

  • Have the first and last name ready.
  • Additional details are helpful but not required:
    • Office address (even if located outside of Pennsylvania).
    • Name of the firm/office the professional operates or works for.
STEP 2:

Contact The PA Securities Commission:

  • Indicate you want to request a background check and provide the information from Step 1 via one of the methods below:
STEP 3:

You Will Shortly Receive A Report Via U.S. Mail (or via e-mail or phone if requested):

  • Confirms appropriate registration with the PA Securities Commission.
  • Lists appropriate registrations with all other regulatory agencies.
  • Lists employment history, complaints, disciplinary actions, fines or other agency actions (if applicable).
  • Lists all previous employers and experience (if applicable for professionals).
  • If a problem exists, the PA Securities Commission will contact you.
  • NOTE:  Our goal is to respond to your request in 24 to 48 hours.
DETAILS:
  • THIS SERVICE IS FREE OF CHARGE.
  • You can request a background check for each financial professional and/or firm you are considering.
  • You can do this at anytime.  This is not a one-time service.
  • This service is provided to you confidentially.  No one is made aware of your request NOR will your request be released to anyone.
  • IMPORTANT:  Even if an individual or company was highly recommended to you by a relative or friend, you still need to conduct a background check.
FAST CHECK:

You can also conduct your own research and instantly check the registration and background of a financial professional or firm through these online links:

IMPORTANT:  Certain information may NOT be reported through the following online methods.  More details may only be available by requesting a free background check directly through the PA Securities Commission (see STEP 2 above).

  • Check Registered Representatives, Brokers and Brokerage Firms:  www.finra.org/Investors/ToolsCalculators/BrokerCheck/index.htm
    • IMPORTANT:  Once the “Report Summary” for the individual or firm you are interested in appears, click the “View Full PDF Report” link on the upper right side of the screen.