Проверка статуса брокера, брокерской фирмы: США

Есть такой проект как - BrokerChecK, который предоставляет поиск информации о действующих и ликвидированных фирмах, зарегистрированных FINRA (Агентством по регулированию деятельности финансовых институтов) . Также обеспечивается инфомация о лицах, зарегистрированных FINRA с 2006 г.

http://brokercheck.finra.org/Search/Search.aspx

В результате поиска можно получить информацию такого содержания:

1717 CAPITAL MANAGEMENT COMPANY
CRD# 4082
SEC# 8-14657

Main Office Location
300 CONTINENTAL DRIVED2ENEWARK, DE 19713-4329

Mailing Address
CHRISTIANA EXECUTIVE CAMPUSP.O. BOX 15626WILMINGTON, DE 19850

Business Telephone Number
302-453-3800

This firm is a brokerage firm and an investment adviser firm. For more information about investment adviser firms, visit the SEC's Investment Adviser Public Disclosure website at:http://www.adviserinfo.sec.gov

Report Summary for this Firm
The report summary provides an overview of the firm's background. The firm and a securities regulator(s) have provided the information contained in this report as part of the securities industry registration and licensing process. More detailed information for this firm can be found in the firm's PDF report. Select "View Full PDF Report" to view the detailed information about this firm. The information contained in this report was last updated by the firm via Uniform Application for Broker-Dealer Registration (Form BD), the Uniform Request for Broker-Dealer Withdrawal (Form BDW), or a securities regulator via a Uniform Disciplinary Action Reporting Form (Form U6) on 08/29/2008.

Firm Profile
This firm is classified as a corporation.This firm was formed in Pennsylvania on 01/22/1969.Its fiscal year ends in December.

Firm History
Information relating to the firm's history such as Other Business Names, Other Business, and Successions (e.g., mergers or acquisitions) can be found in the firm's full PDF report.

Firm Operations
This firm is no longer registered with FINRA.

Are there events disclosed about this firm? Yes

The following types of disclosures were reported:
Regulatory Event
Arbitration
Bond