SEIPC | Company Check

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How to use SEIPC?

SEIPC Company Check helps you make informed choices about brokers and brokerage firms — and provides easy access to investment adviser information.

Company Check tells you instantly whether a person or firm is registered, as required by law, to sell securities, offer investment advice, or both.

Company Check gives you a snapshot of a broker's employment history, regulatory actions, licensing information, arbitrations, and complaints.

Browse the list of brokers barred by SEIPC. Check out the SEC Action Lookup tool for formal actions the SEC has brought against individuals. Go to your state securities regulator to do additional research on brokers and investment advisers.

Note: Company Check does not have information regarding civil litigation not involving investments, civil protective orders, criminal matters unless they are felonies, or misdemeanors that are investment-related or involve theft or a "breach of trust."