1300 W. Washington Street
Phoenix, AZ 85007-2996
Toll free in AZ
Want to check on the license status and disciplinary history of an investment professional?
Need to submit an investor complaint?
Need to inquire about a securities enforcement case?
Want information on how to avoid investment fraud?
Are you a financial services professional seeking licensing and registration info?
Contact the Commission's Securities Division to inquire about the license status and possible disciplinary history of the securities salesperson or investment adviser--even if it's with someone you know and trust:
Investigator on Duty (Enforcement)
TEL: 602-542-0662 or 1-866-837-4399 toll free in AZ
EMAIL: [email protected]
DUTIES: Answers questions about filing a complaint about an investment promoter; provides background information on securities dealers, salesmen, or investment advisers and their representatives upon request.
Also, before handing over your hard-earned money, ask enough questions to understand how the investment works then verify the answers with an objective resource, someone who is knowledgeable in financial matters, but who does not stand to benefit financially.
Visit the Investor Fraud Prevention Center to learn the common investment scams and how to reduce the possibility of becoming a victim.
Review the 16 questions that can turn off a swindle to protect your money from con artists and unscrupulous investment professionals
Complete this investor checklist to make an informed investment decision.
With FINRA BrokerCheck, you can get background and license info about an investment adviser or securities salesman, commonly known as a stockbroker.
As an online resource, you can conduct a background check of an investment professional and the company with a CRD/IARD report from the Financial Industry Regulatory Authority's Broker. For investment advisers and their representatives, visit the Investment Adviser Public Disclosure (IAPD) database.
NOTE: When conducting your search, look for public disclosures regarding both the individual and the company as the company may have legal actions taken against it.
Read more about how to ask and check on an investment professional and the information you can obtain from a CRD/IARD report.
Know the difference between a securities salesperson (stockbroker), investment adviser and financial planner?
Also, you can visit SmartCheck, a resource provided by a federal government agency, the Commodities Futures Trading Commission (CFTC).
Check here to sign up for Consumer Alerts from the Corporation Division. To receive alerts for your business register at eCorp.azcc.gov.Please call 602-542-3026 with questions for the Corporations Division.
Check here to sign up for Notices and Agendas for Commission Meetings, Hearings and Appearances.Please call 602-542-3931 with any questions.
Check here to receive the latest Commission News Releases and information. Please call 602-542-0728 with any questions.