Who regulates DeafInvest and protect clients?

In investment industry of the USA, there are three primary regulatory bodies that supervise the industry since 1934 when first national security law was passed by the US Congress. 

The primary regulator is the Securities and Exchange Commission, known as the SEC. SEC is the federal agency that oversees the investments, markets, issuers, trading, investment advisors, and firms in the USA. SEC website is LINK.

States have their agencies or divisions that oversee investment activities within their borders. Find who has the authority in your state using this LINK. 

FINRA is a private organization authorized by the SEC to governs the standards, exams, education, and disciplinary. FINRA process registration paperwork for investment industry in the USA. Link to learn more about FINRA is Here. 

Schwarz Financial Services, doing business as DeafInvest, is a state registered investment advisor. You can find more information about DeafInvest’s regulatory detail at this LINK.

Charles Sterling is licensed as an investment advisor representative with Series 7 and 65. You can find more about Charles Sterling’s investment profile at this LINK.

DeafInvest is registered as an investment advisor to provide investments services to VA, DC, MD, FL and in these following states as exempted registered advisor: AZ, CA, CT, DE, HI, IN, MO, NV, NY, OH, PA, TX, and WA. Exempt registered advisor (ERA) means have less than 6 clients in the state.
If DeafInvest has at least 6 clients in a specific state then DeafInvest must register and be approved by that state.