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Questions and Answers on Investing or Securities Professionals

Question:
Where can I go to find out more about investing in the stock market, planning for retirement, etc.?

Answer:
There are many good sources of information about investing.  Visit our consumer education and resources page and scroll down to “Investments.” You can also request copies of the most popular brochures. Contact the department’s Office of Communications at disb@dc.gov or call (202) 727-8000.  In addition, there is a great deal of information in the business section of the D.C. Public Library.

Question:
Can you recommend an investment adviser or broker-dealer?

Answer:
No.  Our department is not permitted to recommend any broker-dealer or investment adviser firm. We can only provide you with information in the public record, including disciplinary history, if any, about a licensed professional or firm.  You can access the Securities and Exchange Commission’s Investment Adviser Professional Database which provides information about current and certain former investment adviser representatives and investment adviser firms registered with the Securities and Exchange Commission and/or state securities regulators. You can also use the Financial Industry Regulatory Authority BrokerCheck for information about brokerage firms and registered representatives of brokerage firms.

Question:
How do I file a complaint if I think that I have been treated improperly by a licensed securities professional or that the investment I purchased was not accurately described to me?

Answer:
Follow this link to file a complaint online or to get our complaint form.  If you have a question about the department’s complaint process, send an email to disbcomplaints@dc.gov or call (202) 727-8000. 

Question:
How can I tell if a securities firm or a particular individual in a securities firm has a D.C. license?

Answer:
You can call the licensing division of the securities bureau at (202) 442-4934 or email maurice.goff@dc.gov to find out if a broker-dealer or investment adviser firm or an associated individual is licensed with the department.