Resources

Get Connected

There is so much to see here! So, take your time, look around, and learn all there is to know about the industry and our services. We hope you enjoy our site and you take a moment to drop us a line.

Financial Industry Regulatory Authority (FINRA)

FINRA is an independent, nongovernmental organization that writes and enforces the rules governing registered brokers and broker-dealer firms in the United States.

Link to FINRA

Securities and Exchange Commission (SEC)

SEC oversees compliance programs of investment companies and investment advisers. 

Link to SEC

The Florida Bar

The Florida Bar is the integrated bar association for the state of Florida. It is the third largest such bar in the United States. Its duties include the regulation and discipline of attorneys. The Florida Bar is also responsible for the governing of Florida Registered Paralegals. 

Link to Florida Bar

Public Access to Court Electronic Records (PACER)

Electronic access to federal court records. (You may need to set up your own account to access certain documents on PACER).

Link to PACER

Florida Statutes

Electronic access to Florida statutes. 

Link to FL Statutes

Florida Administrative Code

Electronic Access to Florida Codes and Registers.

Link to FL Admin Code

Broker Check

Locate a Broker using Firm Name or CRD Number, and City/State.

Link to Broker Check

Yahoo Finance

Get up-to-date news, stock information, portfolio management resources, and more.

Link to Yahoo Finance

Bankrate

Compare rates, crunch numbers and more.

Link to Bankrate

Florida Sunbiz

The State’s central location for filing business entities, trade and service marks, fictitious name registrations, judgment and federal tax liens, UCC financing statements, and notary commissions and apostilles.

Link to Florida Sunbiz

Investment Adviser Registration Depository (IARD)

This site provides investment adviser firms and representatives with a variety of information about the Investment Adviser Registration Depository (IARD) system. IARD is an electronic filing system that facilitates investment adviser registration, exempt reporting adviser filing, regulatory review, and the public disclosure information of registered investment adviser firms and individuals.

Link to IARD

National Society of Compliance Professionals

The National Society of Compliance Professionals is a nonprofit, membership organization dedicated to serving and supporting the compliance professional in the financial services industry.

Link to NSCP