What is a FINRA broker?

A FINRA broker is a registered securities professional licensed to offer investment products under the supervision of a broker/dealer.    Brokers are legally required to act in the client’s best interests, putting investor interests ahead of their own. Broker-dealers provide objective recommendations based on informedanalysis,. Our guidance is not driven by our interests, but tailored to your financial goals and are presented in accordance with the US Securities Exchange Commission Regulation Best Interest (SEC Reg BI).

FINRA oversees broker/dealers and their licensed brokers in accordance with their mission Its mission is to safeguard investors by ensuring broker-dealers act fairly and transparently.. This may be a difference with some regional centers, are not all are subject to the same standards and oversight.