How can I check to see if a broker or an issuer has a license to do business in New York State? How can I review their background?
You may get basic information over the phone by calling the Securities Bureau’s Record Department. The staff can only give basic answers, such as a salesperson’s employment history, exams/series taken and yes/no answers to confirm any disciplinary history. Under the State Freedom of Information Law, most files maintained by this Bureau are available for your review. You may also obtain copies of information contained in our files. The first five copies are free with a fee of twenty-five cents ($0.25) per page thereafter. If you are requesting a printout of any record maintained in the securities bureau, such as a disciplinary history, a CRD report or to inquire about complaints against a company or an individual you plan to do business, please write to this office. Address your request to Investor Protection and Securities Bureau Chief, NYS Department of Law Office of the Attorney General, Investor Protection and Securities Bureau, 120 Broadway, 23 floor, New York, NY 10271. You may al
