U.S. · Investment professionals
Find your state securities regulator.
NASAA, the North American Securities Administrators Association, runs a directory that sends you to your state’s securities regulator. Use it alongside BrokerCheck and IAPD.
Important, up front: this is a guide, not a verification service. It links to the official register and never queries it for you. The live record on the official site is the only thing that confirms a licence or registration.
How to check, step by step
- Open NASAA’s Contact Your Regulator page.
- Click your state, province or territory to reach its securities regulator and the resources it provides.
- Look for that regulator’s own tool or phone number for checking a broker or investment adviser registered in the state.
- Cross-check the result against FINRA BrokerCheck and the SEC’s IAPD site.
NASAA describes the page as contact information for state and provincial securities regulators and the resources those agencies provide. What each state offers differs, so follow your state’s own page.
Official lookups
Sources
- NASAA — Contact Your Regulator (retrieved October 2026)
Frequently asked questions
What is NASAA?
The North American Securities Administrators Association. Its Contact Your Regulator page lists state, provincial and territorial securities regulators.
Why check my state as well as BrokerCheck?
Different registries cover different professionals, and states provide their own resources. Checking more than one source gives a fuller picture.
Which regulator should I call about a complaint?
Start from your state’s page on the NASAA directory and use the contact information it provides.
Does this page check anyone for me?
No. It only links to the directory and collects nothing you type.
Guide only — not an official verification
TNAADO is not affiliated with any regulator or registry named here. Registers change; confirm on the official site and, for anything binding, with the regulator. Nothing you might type here is transmitted anywhere and this page collects no personal data. This page cannot confirm anyone’s licence or registration.