Utah Division of Securities
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To research the background of a Broker Dealer or Agent, visit the FINRA web site.

To research the background of an Investment Advisor or IA Representative, call the Division of Securities at
801-530-6600 or check the IAPD. Our office hours are Monday through Thursday from 7:00 am to 6:00 pm Mountain time.

To research the background of an Issuer Agent, visit our online database 


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