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  | Investment Adviser Public Disclosure (IAPD) provides information about current and former Investment Adviser Representatives (IARs), Investment Adviser firms registered with the SEC and/or state securities regulators, and Exempt Reporting Advisers that file reports with the SEC and/or state securities regulators.
In addition to providing information about IARs currently registered with a state securities regulator, IAPD also includes individuals who: • have been registered with a state securities regulator within the last ten years, or • (1) have ever been the subject of a final regulatory event, (2) convicted of or pled guilty or no contest to a crime, (3) have been the subject of a civil injunction or civil court finding involving a violation of any investment-related statute(s) or regulation(s), or (4) have been a respondent or defendant or the subject of an arbitration or civil litigation which resulted in an award, decision, or judgment for a customer that has been reported on a registration form. To search for an IAR or a firm, select one of the radio buttons below. If you are having problems with your search, please refine your search criteria or call 240-386-4848 for technical assistance.
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