Firms & Professionals
Information and resources for broker-dealers, investment advisers, securities professionals, and firms conducting securities business in Oklahoma.
Registration & Disclosure Resources
FINRA BrokerCheck
The Financial Industry Regulatory Authority provides a mechanism for investors to obtain information about FINRA member broker-dealers and their agents.
FINRA BrokerCheck
Investment Adviser Public Disclosure
The U.S. Securities and Exchange Commission’s public disclosure program provides access to information about investment advisers, business operations, and certain disciplinary events.
Investment Adviser Public Disclosure
Arbitration & Dispute Resolution
FINRA operates a dispute resolution forum to assist with monetary and business disputes between and among investors, securities firms, and registered representatives.
FINRA Arbitration
SIPC
The Securities Investor Protection Corporation is a nonprofit membership corporation funded by its member securities broker-dealers.
SIPC Statute & RulesOklahoma may submit Ad Hoc WebCRD report requests on your behalf. These custom reports range in price from $120 to $480 each.