Check Out a Firm or Individual

• Mortgage Broker, Mortgage Brokerage Business, Mortgage Lender, Finance Company or Retail Installment Seller: To find out the licensing or registration status:

1. Click on the appropriate link for the business type under the heading "Finance Companies".

2. Contact the Florida Office of Financial Regulation at 850-410-9895; or

toll free consumer helpline at 1-800-848-3792.

• Broker-Dealer Firm or Broker-Dealer Associated Person or Investment Adviser Associated Person:  To find out employment history, licensing or registration status, and disciplinary history.

1. Contact the Florida Office of Financial Regulation at 850-410-9893; or

toll free (Florida only) consumer helpline at 1-800-848-3792; or

2. FINRA BrokerCheck

The FINRA BrokerCheck does not report certain types of information that may be available through your state securities regulator, The Office of Financial Regulation.

• Investment Adviser Firm: To find out employment history, licensing or registration status, and disciplinary history.

1. Contact the Florida Office of Financial Regulation at 850-410-9893; or

toll free (Florida only) consumer helpline at 1-800-848-3792; or

2. U.S. Securities and Exchange Commission – Investment Adviser Public Disclosure System (IAPD)

The SEC IAPD system does not contain all investment advisers registered with the State of Florida.

Updated: 03 Jul 2008