Check a Firm
Verify a Financial Services Firm
Before engaging with a financial services firm, it's important to check if they are authorized by the Securities Exchange and Investment Protection Commission (SEIPC). This search tool allows you to verify if a firm is regulated by us.
Important: Dealing with an unauthorized firm means you will not have access to the SEIPC's complaint procedures or compensation schemes if something goes wrong.
Search the Register
Understanding the Results
Authorized Firm
If the firm is listed as "Authorized," it means the firm is regulated by the SEIPC and can provide the financial services listed in its authorization.
Unauthorized Firm
If the firm is not found in our register, it is not authorized by the SEIPC. Be cautious about engaging with such firms for financial services.
Warning List
If the firm appears on our warning list, it means we have concerns about its activities. You should be extremely cautious about dealing with such firms.
What to Do If a Firm Is Not Authorized
If you find that a firm offering financial services is not authorized by the SEIPC:
- Be extremely cautious about engaging with them
- Do not share your personal or financial information
- Report the firm to the SEIPC using our unauthorized firm reporting form
- If you have already invested money with an unauthorized firm, contact our Consumer Helpline for advice
Sample Search Results
Authorized Firm
ABC Investment Services Ltd
Registration Number
123456
Status
Authorized
Address
123 Financial Street, City
Website
www.abcinvestments.com
Unauthorized Firm
XYZ Investments
This firm is not authorized by the SEIPC.
We have received reports that this firm has been offering financial services without authorization. If you have been approached by this firm, please be cautious and contact our Consumer Helpline.
Consumer Navigation
Need Help?
Consumer Helpline
Call our helpline for assistance with checking a firm's status.
+123 456 7890
Email Support
Send us an email with your query about a firm.
consumers@seipc.org
Scam Alert
Be aware of scammers impersonating SEIPC-authorized firms. Always verify a firm's details through our official register.
View Scam Warnings