Broker Check

Disclosures

FINRA / SIPC / TRADE ROUTING DISCLOSURES

FINRA Disclosure

Investors seeking detailed information regarding securities regulations and disclosures may contact the Financial Industry Regulatory Authority (FINRA) directly by telephone at the FINRA Broker Check Hotline number, (800) 289-9999 or by email through their website www.FINRA.org. An investor brochure is available that includes information describing the FINRA Broker Check on the website.

SIPC Disclosure

Investors seeking detailed information regarding the Securities Investor Protection Corporation (SIPC), including the SIPC brochure, may call (202) 371-8300 or visit the SIPC website at www.sipc.org.

Trade Routing Disclosures

Pershing, LLC (Pershing), our clearing firm, has provided the data concerning the routing of order flow (data) on this website. While Pershing has used reasonable efforts to provide accurate data, the data is provided to you on an “as is” basis.

Click here to see the trade routing disclosure for Brokers Financial. Enter “Brokers International Fin. Srvcs” into the search box to find our information.

MSRB G-10

In compliance with the Municipal Securities Rulemaking Board (MSRB) Rule G-10, Brokers International Financial Services, LLC provides you with the following information:

  • Brokers International Financial Services, LLC is registered with the U.S. Securities and Exchange Commission and the MSRB.
  • The MSRB’s website is https://www.msrb.org and it provides a link to an investor brochure which describes the protections that may be provided by MSRB rules and how to file a complaint with an appropriate regulatory authority.

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