Company Filings More Search Options. Information on brokerage firms.

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Information on individual brokers. BrokerCheck provides the following information on individual brokers:.

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The IAPD Program provides information about both SEC- and state-registered investment adviser firms. Advisers that do not meet this threshold generally are regulated by the states.

Investment adviser firms that have not registered with the SEC electronically will not appear on the IAPD page. STAY CONNECTED 1 Twitter 2 Facebook 3 RSS 4 YouTube 5 Flickr 6 LinkedIn 7 Pinterest 8 Email Updates. Securities and Exchange Commission.

Checking Out a Brokerage Firm, Individual Broker, Investment Adviser Firm, or Individual Investment Adviser Feb. BrokerCheck provides the following information on individual brokers: Through the IAPD, investors may: Information on individual investment advisers is available through state securities regulators.