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The Secretary of State's toll-free Investor Protection Hotline (800-721-7996) has been established for reporting complaints or making inquiries about broker-dealers, agents, investment advisers, investment adviser representatives, or general securities violations.
In addition to using our toll-free Hotline to check the credentials and professional history of your broker or adviser, you may wish to check with the Financial Industry Regulatory Authority ("FINRA," formerly the NASD). The FINRA BrokerCheck program allows investors to check the registration and professional background of FINRA-registered firms and agents on-line.
You may also want to check the Securities and Exchange Commission's (SEC) Investment Adviser Public Disclosure website to check the registration and professional background of SEC-registered firms and agents on-line.
Because of the limited nature of information that is contained on these on-line search databases, the Securities Division toll-free investor protection hotline will provide additional information about your broker or investment adviser, including regulatory actions that have been taken against the broker or investment adviser and investor complaints that have been reported to the Central Registration Depository.
The Securities Division of the Missouri Secretary of State's Office offers several publications to help investors protect themselves against fraudulent investment schemes. The Missouri Investor Bill of Rights contains information regarding your rights as an investor and the Variable Annuities: A Guide for Investors examines the questions you should consider before investing in a variable annuity.