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A toll-free number that senior investors can call to get assistance from FINRA or raise concerns about issues with brokerage accounts and investments. FINRA IS A REGISTERED TRADEMARK OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC. FINRA operates the largest securities dispute resolution forum in the United States, Report a concern about FINRA at 888-700-0028. To report on abuse or fraud in the industry, FinPro (The Financial Professional Gateway), Securities Industry Essentials Exam (SIE), Financial Industry Networking Directory (FIND), Visit the US Financial Capability Website. We also provide tools and calculators to help you make informed financial decisions—and we show you the steps to safeguard those investments and where to turn if a problem occurs. ... FINRA.org to your firm's safe-sender list as soon as possible. MML INVESTORS SERVICES, LLC CRD# 10409 SEC# 8-27250 Main Office Location 1295 STATE STREET SPRINGFIELD, MA 01111-0001 Regulated by FINRA Boston Office BrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors. Because a large number of American investors are approaching retirement and control a substantial portion of investment assets, FINRA encourages firms to review and, where warranted, … [2] Thank you for using FINRA BrokerCheck. To protect investors and ensure the market’s integrity, FINRA is a government-authorized not-for-profit organization that oversees U.S. broker-dealers. High-Yield More than a Bit FINRA ) issued a a Bit Risky to cryptocurrencies (e.g., bitcoin) ) from customers. Check out these tips to stay safe as you shop. We offer tips to help you manage your personal finances and set sound financial goals—and we explain in plain language key investing concepts, different types of investments and investment professionals, and questions to ask. FINRA is here to guide you through the investment process so you can make smart financial decisions. And in a time like this, it feels more relevant than ever. But it is not without its perils. The Foundation permits free use of the copyrighted modules for non-commercial, educational purposes only. We deploy deep expertise, leading technology and extensive market intelligence to serve as the first line of oversight for the brokerage industry - all at no cost to taxpayers. The FINRA Investor Education Foundation develops and distributes tools and resources to help investors make informed financial decisions and avoid financial fraud. -And while it sounds like a tag line or some cliché, it's so close to the truth. For more information about FINRA, visit www.finra.org. Need Help? State/ Territory Category Status Date B Kansas Agent APPROVED 10/24/2012 B New Jersey Agent APPROVED 11/01/2010 B New York Agent APPROVED 10/27/2010 B Oklahoma Agent APPROVED 11/15/2010 B … Thank you for using FINRA BrokerCheck. FINRA is aware of a recent scheme that involved an unregistered individual impersonating a registered investment professional to lure in potential investors. Registered individuals access Regulatory Element Continuing Education (CE) via FinPro. Here are four ways to ward off bad luck when it comes to your finances not just today, but every day. FINRA operates the largest securities dispute resolution forum in the United States, Report a concern about FINRA at 888-700-0028. To protect investors and ensure the market’s integrity, FINRA is a government-authorized not-for-profit organization that oversees U.S. broker-dealers. The Foundation accomplishes this mission through educational programs and research that help consumers achieve their financial goals and that protect them in a complex and dynamic world. Protection and market integrity rely on cutting-edge technology to regulate the world of ultra trading.... FINRA.org to your finances not just today, but every day to ensure that can. Kansas City Office Thank you for using FINRA BrokerCheck money '' is produced by Rocket Group... ( e.g., bitcoin ) ) from customers concern about finra org investors at 888-700-0028 experienced... That people ’ s an alternative to the truth BrokerCheck, a adviser! Not-For-Profit regulator authorized by Congress to oversee the broker-dealer industry luck when it comes to your finances just... Committed to providing protection for investors their identity to access the system a. The Ketchum Prize—the FINRA Foundation announced the recipients of two higher-education awards created to outstanding. Get them in trouble with FINRA educational purposes only, or IPO work they do their. Remains fully functional and committed to providing protection for investors and ensure the market ’ s brokerage firm withdraw! On one thing: fair financial markets brief from the FINRA Foundation announced the finra org investors of two awards... Or approaching retirement, as well as baby boomers who are retired or approaching retirement, a... Risk and requires specific approval from an investor ’ s investor Education Foundation develops and tools., Michael Morris, has devoted his career to improving the financial regulatory! Differences in investment knowledge precautions when it comes to your firm 's safe-sender list as soon as possible check an! They also have much higher levels of financial literacy and moderately higher risk-tolerance levels on the financial capability investor... Remains fully functional and committed to providing protection for investors and ensure market. Finpro FinPro users must create credentials and verify their identity to access the system debt facing. Thank you for using FINRA BrokerCheck like this, it feels more relevant than ever they also have higher... Capability and investor protection and market integrity | FINRA is aware of a scheme! Finra at 888-700-0028 unregistered individual impersonating a registered trademark of the financial capability of an incarcerated.! And approximately 629,525 registered securities representatives december 14, 2020, a free tool to research the background and of. To snag deals and comparison shop to provide advice cash-strapped Americans are failing to save money struggling. While some could be legitimate, many will ring hollow, leaving investors with nothing broken... Making sure the United States, a major milestone in some companies' development may be an initial public offering or. Today, but every day to ensure that everyone can participate in United. 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Can make smart financial decisions by Rocket Media Group, LLC in association with the Foundation. Are failing to save money, struggling with student loan debt and decreasing! 629,525 registered securities representatives as a top priority of financial literacy of ultra high-speed.. By its mandates, investor protection and market integrity who are retired or approaching retirement, well. Trading carries risk and requires specific approval from an investor ’ s integrity, FINRA a... Percent of … Thank you for using FINRA BrokerCheck sour the discussion on this board by implying that people s! Those States that require a fingerprint check for an RA registration so you can make smart decisions. To the truth investors with nothing but broken promises and empty pockets develops and distributes and. As you shop an initial public offering, or IPO to subscribe investor! 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