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The Financial Industry Regulatory Authority (FINRA) is one of the Financial Industry’s most trusted & respected regulators. FINRA acts as a self-regulatory organization which regulates & monitors member brokerage firms & exchange markets. Their goal is to protect Investors & provide confidence to consumers in the marketplace by participating in safeguarding market integrity.
BrokerCheck is a free tool, created by FINRA, that offers Investors the opportunity to learn more about any Financial Professional. More specifically, anyone who provides Stocks, Bonds, Mutual Funds, & other Securities to their clients is required by law to be registered. Registration through the proper regulatory authority allows details about that Financial Professional to be collected & stored in BrokerCheck. This online program provides transparency & reveals information such as:
Federal & State Examinations
Years of Experience
Professional Licenses & Certifications
Before handing over your hard-earned money, we advise you conduct thorough research & analysis on your Financial Professional. Please feel free to learn more about us by visiting BrokerCheck by FINRA.