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Investment Adviser Public Disclosure (IAPD) - No Results

Based on the information you provided, no results were found for the individual for whom you searched. This may have occurred because:

  1. The individual's name is misspelled. Revise your search by entering only part of the name of the individual you are checking.
  2. The CRD Number or Zip Code are incorrect or invalid. Ensure that you have entered the correct information or try using different criteria for your search.
  3. The Investment Adviser Representative is not within scope for IAPD because:
    • the individual is not currently registered with a state securities regulator or has not been registered with a state securities regulator within the last 10 years, or
    • the Investment Adviser Representative has not been registered with a state securities regulator within the last 10 years and (1) is not the subject of a final regulatory action; (2) has not been convicted of or pled guilty or no contest to certain crimes; (3) has not been subject to a civil injunction involving investment-related activity or has not been found in a civil court to have been involved in a violation of investment-related statutes or regulations; or (4) has not been named as a respondent or defendant in an arbitration or civil litigation in which he or she was alleged to have committed a sales practice violation, and which resulted in an award, decision or judgment for a customer that has been reported on a registration form.
  4. The Individual Broker is not within scope for BrokerCheck because:
    • The Individual Broker is not currently registered or has not been registered with FINRA or a national securities exchange within the last 10 years, or
    • The Individual Broker has not been registered with FINRA or a national securities exchange within the last 10 years and (1) is not the subject of a final regulatory action; (2) has not been convicted of or pled guilty or no contest to certain crimes; (3) has not been subject to a civil injunction involving investment-related activity or has not been found in a civil court to have been involved in a violation of investment-related statutes or regulations; or (4) has not been named as a respondent or defendant in an arbitration or civil litigation in which he or she was alleged to have committed a sales practice violation, and which resulted in an award or civil judgment against the Individual Broker.

If you still are not able to find the individual for whom you are searching, call 240-386-4848 for technical assistance.

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