Verify Before You Invest
Why Use Broker Check?
Broker Check helps you make informed choices about brokers and brokerage firms — and provides easy access to investment adviser information.
Search the Registry
Look up a company or an individual
Broker Check tells you instantly whether a person or firm is registered, as required by law, to sell securities (stocks, bonds, mutual funds and more), offer investment advice or both.
Company
Verify the registration status and regulatory history of a brokerage firm or investment adviser.
Individual
Check a broker’s employment history, licensing status, and any regulatory actions or complaints.
Why It Matters
Why Use Broker Check?
Broker Check gives you a snapshot of a broker’s employment history, regulatory actions, and investment-related licensing information, arbitrations and complaints.
PEA is the voice of Japan’s venture capital and private equity industry. We are focused on broadening industry awareness through market research and networking opportunities so that our members can make the best decisions for their investments. We also advocate on behalf of the industry to ensure sound public policy that encourages a favorable environment for investment.
Need Assistance?
Have a question about a broker or member firm?
Get in touch with the Private Equity Alliance team for guidance.
Contact Us