Investment Professional Search

Investment professionals are divided into two basic categories, brokers (agents) of a broker-dealer and investment adviser representatives of an investment adviser. The websites listed below offer information about these investment professionals that an investor might find helpful, such as:

• Civil judgments
• Criminal history
• Employment history
• Liens
• Material disclosures relating to customer complaints
• Regulatory actions
• Whether the individual is registered in a given jurisdiction

Research Resources

• Broker-Dealer & Agent Search – Obtain information on broker-dealers and brokers (agents).
• Investment Adviser Search – Obtain information on investment advisers and investment adviser representatives.

If your investment professional does not appear under either of these websites, the individual may be an insurance agent marketing insurance products as investments. If so, please utilize the Kansas Department of Insurance’s Company Search tool.

Assistance

If, after conducting a search, you need assistance in interpreting the information you found or you cannot find the individual or company listed, you may call our staff for further assistance.

As we age, it becomes increasingly important to protect our financial well-being. Seniors are often targeted by scammers and fraudsters due to their perceived vulnerability, making them more susceptible to financial abuse. According to a study by the Investor Protection Trust, one in every five Americans over the age of 65 has been victimized by financial fraud.

Elder financial abuse can take many forms, including fraudulent investment schemes, identity theft, and deceptive scams. These crimes can have devastating effects, not only on the financial stability of seniors but also on their emotional and physical well-being. In many cases, seniors may not even realize they have been victimized, or they may feel ashamed to report it.

Investor education plays a crucial role in preventing elder financial abuse. By learning how to recognize and avoid common scams, seniors can protect themselves and their assets. Caregivers also play a vital role in this effort, as they often oversee the financial affairs of their elderly loved ones. Educating caregivers about the signs of financial abuse can help them take proactive steps to protect their loved ones from exploitation.

Preventing elder financial abuse and fraud is a key focus of the Kansas Department of Insurance’s investor education efforts. Through educational workshops, resources and outreach programs, we aim to empower seniors to safeguard their savings and investments.

Military service members, and their families, are often targeted by scammers due to the unique challenges they face, such as frequent relocations and deployments.

The Kansas Department of Insurance and its partners provide specialized investor education materials tailored to the needs of military families, offering practical advice and resources to help them make informed financial decisions and avoid falling victim to deceptive schemes. Through these efforts, we aim to empower military service members and their families with the knowledge and tools they need to safeguard their financial well-being.

Military Guide to Money and Investing

NASAA’s Investor Education Resources for Military Servicemembers