DS · Disclosures
Disclosures
How SecurityDealers.com is positioned, how commercial placements are labeled and how listings should be interpreted.
Independent status
SecurityDealers.com is an independent media, directory and research platform. It is not a broker-dealer, investment adviser, exchange, funding portal, law firm, regulator or rating agency. Listings are informational and should be independently verified through official regulatory databases.
Not affiliated with S&P Global, Standard & Poor’s, FINRA, SEC, or McGraw Hill.
Sponsored and enhanced profiles
Sponsored profile — commercial placement does not alter source or methodology standards.
Sponsorship may affect visibility, never the factual profile fields, source treatment or compliance language.
Listings and sources
Information is compiled from public sources and firm-supplied materials. Review official regulatory records before relying on a listing.
Source index
Official sources
- FINRA BrokerCheck (official site, opens in a new tab)Registration, employment history and disclosures for FINRA-registered firms and individuals.
- SEC Investment Adviser Public Disclosure (IAPD) (official site, opens in a new tab)Investment adviser registration records and Form ADV filings.
- SEC EDGAR full-text search (official site, opens in a new tab)Public company and broker-dealer filings, including annual audited reports.
- NASAA: contact your state or provincial regulator (official site, opens in a new tab)Directory of state and provincial securities regulators.
- Canadian Investment Regulatory Organization (CIRO) (official site, opens in a new tab)Canadian investment dealer membership and regulatory information.