Broker Check

Information For Investors

The financial services world is full of specific terms and definitions that can be confusing to the average consumer. Let us try and cut through the chatter for you.

First, you should know that Brokers Financial is regulated by two different bodies: the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority, Inc. (FINRA). For more information regarding our firm, you can visit FINRA’s BrokerCheck site or the SEC’s IAPD site.

The SEC is a federal agency responsible for enforcing federal securities laws. FINRA is a private corporation that acts as a self-regulatory organization, and oversees about 4,250 brokerage firms across the United States.

Click here for a list of the types of financial professionals that might work with Brokers Financial (generated by FINRA).

Business Continuity Plan

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Privacy Notice

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Your Account Agreement

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Company Disclosures

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Broker Changing Firms?

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Form CRS

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Schedule Of Fees

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