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FINRA BrokerCheck is a free, online research tool providing information about individual brokers, investment advisors and the firms that employ them. The database contains details like ...
The BrokerCheck report for a brokerage firm contains A summary section that provides a brief overview of the firm and its background. A firm profile that describes where and when the firm was established and lists the people and organizations that own controlling shares or directly influence the firm's daily operations.
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In connection with an investigation into the SEC's role in the collapse of Bear Stearns, in late September, 2008, the SEC's Division of Trading and Markets responded to an early formulation of this position by maintaining (1) it confuses leverage at the Bear Stearns holding company, which was never regulated by the net capital rule, with leverage at the broker-dealer subsidiaries covered by ...
World Group Securities was incorporated in Delaware, USA on February 6, 2001, in order to replace World Marketing Alliance Securities (WMAS) as servicing broker-dealer when AEGON bought out the book of business generated by World Marketing Alliance (WMA) and reassigned it to the newly created World Financial Group.
FINRA's BrokerCheck tool can tell you the following about a firm or advisor: Registration status with the U.S. Securities and Exchange Commission — required to sell securities or offer ...
Ensign Peak Advisors (/ ˈ ɛ n s aɪ n / EN-syne) [3] (EP) is the investment manager for assets of the Church of Jesus Christ of Latter-day Saints (LDS Church). [4]In 1997, the investment division of the LDS Church was spun off into a separate legal entity named after Ensign Peak, a hill that overlooks Salt Lake City. [4]
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