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	Ethics Check System™
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Order a Background Check on Non-Member

To order a background check on a financial professional, please fill out the required fields below. We will then put the person through our Ethics Check System™, comprehensive financial-services background check. Our investigation includes the following checks:

	Criminal Background Check (7) Years Nationwide skip-trace provided by Acxiom Information Security Services, a world leader in security information technology. This checks for any pending or confirmed felonies or disqualifying misdemeanors.
	Civil Background Check (7) Years Nationwide investigation provided by TransUnion, a global leader in information technology. This checks the civil courts for any pending or confirmed disqualifying violations that have resulted in a judgment, fine, or award.
	Professional License Check (7) Years NEB verifies the existence of one or more recognized state or federal regulated licenses to offer financial services. This may include insurance, securities, mortgage, real estate, and other industry-type professional licensing.
	Department of Insurance (7) Years NEB checks with state departments of insurance for resident and non-resident license(s) listed by the applicant. This check verifies that all licenses are correct and up to date, that they have no disqualifying violations, and that the advisor has stayed current with continuing education requirements.
	National Association of Securities Dealers (7) Years NEB reviews all CRD disclosure reports for any disqualifying violations for both active and inactive licenses.
	Securities and Exchange Commission (7) Years NEB performs a monthly cross-check for any disqualifying violations that result from SEC disclosure of any Administrative Law Judge initial decisions and orders, administrative proceedings, reports of investigations, and litigation releases.
	State Securities Administrators (7) Years NEB checks with each state securities division to uncover any ongoing investigations or disqualifying violations in addition to those discovered by other regulatory agencies.
	Other Federal, State and Private Agencies (7) Years NEB utilizes other agencies, designation-granting or membership organizations, private investigation firms, and other resources for further investigation as needed.
	Bankruptcy Check (7) Years NEB utilizes TransUnion to conduct a comprehensive credit check. This check verifies that all members have not declared bankruptcy effective June 1, 2007.
	State Departments of Real Estate NEB checks with state departments of real estate to verify that all licenses are up to date, that applicants have no disqualifying violations, and that they have stayed current with any continuing education requirements.
	State Mortgage License Regulators NEB checks with state mortgage license regulators to verify that all licenses are up to date, that applicants have no disqualifying violations, and that they have stayed current with any continuing education requirements.
	State Association of Realtors NEB checks with state associations of realtors to verify that applicants have no disqualifying violations.
	National Association of Realtors NEB checks with the National Association of Realtors to verify that applicants have no disqualifying violations.
	State Accounting Department NEB checks with state accounting departments to verify that all licenses are up to date, that applicants have no disqualifying violations, and that they have stayed current with any continuing education requirements.


		Comprehensive Professional &
		Criminal Background Check
		$85.00

Requires: Social Security
Number and Date of Birth

Name of Insurance or Financial Advisor:

	*	Indicates required field
	*	First Name:
		Middle Initial:
	*	Last Name:
	*	Street Address:
	*	City:
	*	State:
	*	Zip Code:
	*	Daytime Phone:
	*	Social Security #:
	*	Date of Birth:

Your Name:

	*	Indicates required field
	*	First Name:
	*	Last Name:
	*	Street Address:
	*	City:
	*	State:
	*	Zip Code:
		E-mail:
	*	Daytime Phone: