Please feel free to review each of our regulatory status, industry backgrounds and certifications on the Financial Industry Regulatory Authority (FINRA) BrokerCheck website: click here.
The Financial Industry Regulatory Authority, is the largest non-governmental regulator for all securities firms doing business in the United States. All told, FINRA oversees nearly 5,000 brokerage firms, about 173,000 branch offices and approximately 656,000 registered securities representatives. You may find FINRA's website to also be helpful for general investing information. FINRA believes investor protection begins with education. Using the internet, the media and public forums, they help investors build their financial knowledge and provide them with essential tools to better understand the markets and basic principles of saving and investing.
