SEC Investor IA Search Tool

On May 2, SEC announced SALI online background checks for IAs.

  • SEC Action Lookup for Individuals (SALI) will help check background of advisors.
  • SALI tool allows investor to identify person subject to judgment or enforcement.
  • Identify individuals who have been parties to past SEC enforcement actions and
    against whom federal courts have entered judgments, or SEC has issued orders.


  • Allow investor to research background of person trying to sell them investments.
  • SALI supplemented existing education resources made available on
  • Search tool does not limit results to registered advisor, unlike existing searches.
  • Free investment professional tool, has individuals in FINRA BrokerCheck system.

Date of Results

  • Results include parties from SEC actions filed from Oct. 1, 2014 - Mar. 31, 2018.
  • SEC will update to add parties from new actions and filings prior to Oct. 1, 2014.