MOBILE · WEB · PROPRIETARY
Regulator
Financial Industry Regulatory Authority
The US self-regulatory body overseeing broker-dealers and their representatives.
Tier 1 · Top-tier regulatorOfficial site
What this licence protects
- Conduct and net-capital rules for broker-dealers
- Public firm and broker records via BrokerCheck
- Arbitration and mediation for client disputes
- Coordinates with SIPC account protection
26 brokers licensed by FINRA