Registration Search Securities
This search is provided to allow you to search for a Business Broker, Business Broker Representatives, Business Opportunities or Loan Brokers. The returned record of a current registrant will list the following: entity name, mailing address, business telephone number, contact person and if a business broker, the names of all registered representatives who conduct business on behalf of the firm in Illinois. For information concerning the governing statutes for these registration filings, please visit the Laws, Rules and Regulations section.
- FINRA – search for background information and registration status of a Securities Dealer or Brokerage Salesperson
- IARD – search for background information and registration status of an Investment Adviser
- Securities Department — you may obtain a copy of a Central Registration Depository (CRD) concerning an investment adviser directly from the Securities Department. Please call 800-628-7937. Please include the individual’s first and last names, name of firm where individual is employed and address where individual conducts business. Also include your fax number or address to which the report should be mailed.
The Secretary of State, Illinois Securities Department or their information providers shall not be liable regardless of the cause or duration, for any errors, inaccuracies, omissions or untimeliness of the information, or for any delay or interruption in the transmission thereof to the user, or for any claims or losses arising therefrom.