Website Resources
FINRA BROKER CHECK
https://brokercheck.finra.org/
If you are registered with PAS to sell investments, Broker Check provides an informative snapshot of your employment history, regulatory actions, and investment-related licensing information. The information on your personal Broker Check dashboard is replicated on your Form-U4 and Investment Advisor Brochure Supplement, both of which are client facing.
NYS DEPARTMENT OF FINANCIAL SERVICES
The Department of Financial Services supervises and regulates the activities of all insurance companies, banks, and other financial institutions approved to conduct business in New York State. The Applications and Filings section is a useful resource for questions related to applying and managing your insurance license and continuing education. The Agents and Brokers section will provide guidance on requesting approval of a Trade Name, commonly referred to as Doing Business As (DBA) name.
MASSACHUSETTS DIVISION OF INSURANCE
https://www.mass.gov/orgs/division-of-insurance
The Massachusetts Division of Insurance administers the Commonwealth’s laws pertaining to the protection of the insurance consumer through the regulation of the insurance industry. The Insurance Providers and Producers, Insurance Licensing and Insurance Companies sections will provide relevant guidance related to applying and maintaining your insurance license, continuing education requirements, registering your business and requesting approval on your new Doing Business As (DBA) name.
NATIONAL INSURANCE PRODUCER REGISTRY
The National Insurance Producer Registry is centralized licensing and compliance data base for licensed insurance producers. The Licensing Center section will provide helpful guidance on applying for a license, license renewal, and adding a line of authority to an existing license.
The Producer Database (PDB) is a central repository of your personal insurance licensing information updated on a timely basis by participating state insurance departments. Your PDB report contains demographic, licensing, appointment, and regulatory actions supplied by insurance departments. Individuals are entitled to one free copy of their personal report within a twelve-month period.