Methodology

How listings are compiled, what each status label means, how dates are recorded and how to correct a record. Every quantitative statement should say what is measured, as of what date and from which source.

Sources

Profiles link to publicly available regulatory records, such as FINRA BrokerCheck and SEC IAPD, alongside clearly attributed firm-supplied materials.

Limitations

Clearing relationships may change; consult the cited source and the firm directly. A listing is not a recommendation or a statement of suitability.

Updates

Each profile shows a last-reviewed date and revision note. Corrections are logged and reviewed against the cited source.

Status language

Directory listing: A firm included in the directory with sourced identity fields.
Public-source profile: A profile compiled from public regulatory records and filings.
Enhanced profile: A profile with firm-supplied description, logo or contact form, labeled as such.
Sponsored profile: Sponsored profile — commercial placement does not alter source or methodology standards.
Last reviewed [date]: The date the profile’s fields were last checked against their cited sources.

Dates

Editorial copy uses Month D, YYYY. Datasets and tables use YYYY-MM-DD.

Corrections

Information is compiled from public sources and firm-supplied materials. Review official regulatory records before relying on a listing.

Report an error or submit updated source information

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.