 |
Criminal
Background Check
Verification of no felony or business-related misdemeanor
convictions or pending litigations. |
 |
National
Association of Securities Dealers
Verification of no pending or confirmed violations
against public interest. |
 |
Civil
Background Check
Verification of no business-related violations against
public interest or pending litigations. |
 |
Securities
and Exchange Commission
Verification of no pending or confirmed litigations
or administrative enforcement actions. |
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Professional
License Check
Verification of license to offer financial services,
which may include insurance and/or securities licenses. |
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State
Departments of Corporation, Commerce and Securities
Verification of no industry-related violations against
public interest or pending administrative actions. |
 |
Department
of Insurance
Verification of no pending or confirmed
violations against public interest. |
 |
Other
Federal, State and Private Agencies
Utilization of other agencies and resources for
further investigation as needed. |