Financial Planner / Estate Planner / Investment Adviser / Investment Adviser Representative / Securities Dealer / Securities SalesPERSON / Stockbroker

If you are raising money or your business activity involves offering or selling securities products or providing investment advice, you may first need to register with or obtain a license from the Arizona Corporation Commission. You may also wish to consult your attorney. (20)

Contact: Arizona Corporation Commission, Securities Division, 602.542.4242 or 866.837.4399 (toll-free in Arizona)

Additional Information:

FINRA: To protect investors and ensure the market’s integrity, FINRA is a government-authorized not-for-profit organization that oversees U.S. broker-dealers. FINRA Regulates Broker-Dealers, Capital Acquisition Brokers, and Funding Portals. (20)

U.S. Securities and Exchange Commission (SEC): Oversees the key participants in the securities world, including securities exchanges, securities brokers and dealers, investment advisors, and mutual funds.  

U.S. Commodity Futures Trading Commission (CFTC): Oversees designated contract markets, swap execution facilities, derivatives clearing organizations, swap data repositories, swap dealers, futures commission merchants, commodity pool operators and other intermediaries.

Certified Financial Planner Board of Standards, Inc. (CFP Board): A nonprofit professional regulatory organization, the mission of CFP Board is to benefit the public by granting the CFP® certification and upholding it as the recognized standard of excellence for personal financial planning.

BetterInvesting: Non-profit, volunteer-based, member-driven organization. Includes information on starting an Investment Club.