Check Your Investment Professional

​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


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.

Research Resources

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

Best Practices for Investing

Have a Financial Plan

You must have a financial plan that is reasonable based on your current and future personal financial needs and goals. Your investments should be chosen on the basis of your investment knowledge and individual time horizon. Do not invest in products that you do not understand. You must revisit your plan periodically to determine what, if any, adjustments need to be made.

Investment Professional

If you enlist the aid of a investment professional, you should understand the extent of the services offered as well as all charges associated with the service. You should always conduct a background search on the company and investment professional to determine if there is any material information that would prevent you from engaging them.

Educate Yourself

No matter your level of investment knowledge or if you rely on the advice of an investment professional, you must continually devote time to educate yourself on investment opportunities presented to you. You should ask questions, read the offering prospectus and product brochures, and conduct your own research. You should understand costs, such as sales charges, redemption penalties, margin interest, account fees for setup and termination, and any annual fees. You should also make sure you understand the level of volatility in your investments and how each investment fits together as part of your overall diversified portfolio.

Monitor Your Investments

You must review each account statement for activity. You should address in writing any unauthorized activity immediately to the home office of the company. You should meet periodically with your individual investment professional to review your account and review all recommended changes in investments.

Investor Education

Purpose of Investor Education

The goal of the Investor Education program is to provide Kansans of all ages with prerequisite information about investing as well as standard practices investors should expect when working with a registered investment adviser representative or agent of a broker-dealer. Having a basic understanding of investment products and an awareness of the responsibilities industry professionals have to their clients is key to gaining confidence about investing. This due diligence is essential to protecting your nest egg against fraud and for creating enduring wealth for your family.

Request A Speaker

Expert Speakers

Our office is staffed by seasoned subject matter experts that are willing to share their experience and perspective on a variety of securities-related topics. The commissioner or staff is available to speak, at no charge, to your business, church, school, or civic group. Please use our Request a Speaker Form to submit information about your upcoming event. All requests will receive prompt attention.


Outsmarting Investment Fraud

Elder financial abuse is becoming the crime of the 21st century as the growing senior population is increasingly targeted by con artists. The FINRA Foundation, AARP, the SEC and state securities offices across the country have teamed up to promote a researched-based awareness campaign to reduce the incidence of investment fraud in the United States.
The presentation, Outsmarting Investment Fraud, teaches participants to:

  • Recognize their vulnerability to fraud
  • Recognize persuasion tactics
  • Reduce risky behaviors by asking and checking
  • Report to the proper authorities potential cases of fraud

Participants learn about real-life examples of investment scams that have taken place in Kansas cities and towns, as well as the Securities Commissioner’s role in protecting investors, and investigating and prosecuting fraud. To bring this 45-minute presentation to your community, please complete the Request a Speaker Form.

Military Men & Women

Defend Yourself Against Investment Fraud

State securities regulators are thankful for the service and sacrifice of military servicemembers and their families. Unfortunately, unscrupulous scam artists often prey on military families. Education and awareness are the best weapons against investment fraud. 

Visit the NASAA Investor Education Resources for Military Servicemembers

Investor Education Packet

Financial Literature

We are pleased to offer you quality financial literature through our relationship with the Investor Protection Trust and the editors of Kiplinger’s Personal Finance. The subjects below represent the most prevalent investor education topics and comprise our Investor Education Packet. Click the titles below to view these publications.

Five Keys to Investing Success

  • Make Investing a Habit
  • Set Exciting Goals
  • Don’t Take Unnecessary Risks
  • Keep Time on Your Side
  • Diversify

Getting Help With Your Investments

  • Do You Need a Financial Adviser?
  • Who’s Who Among Financial Advisers
  • How to Choose an Adviser
  • Questions to Ask an Adviser
  • How to Open an Account
  • How to Handle Problems with Your Adviser

Maximize Your Retirement Investments

  • Three Key Rules
  • Choosing the Right Investments
  • Investing on Target
  • Best Places to Save
  • Getting the Money Out
  • Create an Income Stream
  • Protect Your Money: Check Out a Broker or Adviser

Mutual Funds and ETFs Maybe All You’ll Ever Need

  • Mutual Funds: An Excellent Choice
  • The Different Types of Funds
  • How to Choose Funds
  • Assembling a Portfolio
  • Sources of Mutual Fund Information
  • Where to Buy Funds

The Basics for Investing in Stocks

  • Different Flavors of Stocks
  • The Importance of Diversification
  • How to Pick Stocks
  • Key Measures of Value
  • Finding Growth
  • When to Sell
  • Consider Mutual Funds

Financial Literacy Partners

Financial Education Information

Our office partners with organizations that increase investor confidence through financial education. Thus, investor education in our office is achieved through a variety of means:

  • We contribute to the Kansas Council for Economic Education (KCEE) in support of the Stock Market Game. The Stock Market Game has been offered in Kansas since 1977. Through the agency’s involvement with KCEE, over 10,000 Kansas students have been able to compete in the game, learn about the stock market, navigate real-life investment scenarios, and through simulation, purchase and sell stock in real-time.
  • The HCCI Women & Money Series, developed by women for women of all ages, encourages and empowers women to take greater control of their financial lives. We have cosponsored and participated in this event for the past several years.

Online Financial Tools

Investment Help

The North American Securities Administrators Association (NASAA) provides a helpful booklet that answers some questions regarding investing: Cutting through the Confusion: Where to Turn for Help with Your Investments.

Do You Have a Complaint?

Typically, market losses on an investment are not grounds for a complaint, but operational mistakes can happen. If you notice errors in your account, you should send a letter describing the problem to your broker-dealer or investment adviser. Use information from your account statements to support your claim. Keep a copy of the letter for your records.

Contact Information

Office of the Kansas Securities Commissioner
1300 SW Arrowhead Road
Topeka, KS 66604

Investment Issues

If you feel that you may have grounds to file a complaint, you may contact us to discuss your issue. You may wish to contact a private attorney to determine what additional courses of action are available to you.

Alternatively, if you would rather fill out a paper complaint and mail or fax to our office, please download the form here or Formulario de Quejas del Consumidor.