Please be advised that extreme weather conditions are expected in the Triangle area Thursday, February 26, 2015, that will likely prevent staff from traveling to their work stations in Raleigh. Due to lingering effects of the winter storm, we expect to continue to be at reduced staffing levels on Friday, February 27 and until travel conditions improve in the metro-Triangle area. If you need to visit our offices for service, we strongly encourage you to call (919) 807-2225 before making the trip to ensure that we have staff on hand to meet your needs. We apologize for any inconvenience that this may cause.

As a general rule, securities firms and stockbrokers, as well as investment advisers and their representatives, must be registered with the Securities Division in order to do business in North Carolina lawfully. This registration is recorded on the Central Registration Depository (CRD) and the Investment Adviser Registration Depository (IARD) registration systems operated by FINRA, Inc.


Investors who wish to check the registration status and background of stockbrokers, investment advisers, and persons selling investments in securities are encouraged to contact the Securities Division of the North Carolina Department of the Secretary of State (1-800-688-4507) and ask to speak with a staff employee responsible for “broker-dealer registration” or “investment adviser registration”. Please be ready to provide the following information when calling the Securities Division:


For information about a company
  • Full name of the specific company.
  • Complete address of the specific company.
  • The CRD number of the company (if available).

For information about an individual
  • Full name (first, middle, last) of the specific individual.
  • Complete address of the specific individual.
  • The CRD number of the person (if available).