Series 24: Broker-Dealers And The FINRA Membership Process

Taken from our Series 24 Online Guide

Broker-Dealers and the FINRA Membership Process

For a broker-dealer, becoming a FINRA member is achieved in two steps. First, one must register with the SEC as a broker-dealer. The SEC has 45 days to respond, by either granting the registration or starting a process to determine whether the registration should be denied. In practice, the SEC will grant the registration only after FINRA has approved the application for FINRA membership, which is the second step.

Preparing the FINRA membership application and w

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Even though there is no such thing as a guaranteed success in the securities industry, there is a likelihood of strong returns if you are able to make the right risk / reward choices at the right time.

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Eric Altmann, New York, NY

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Thadius Beavers, Prospera Financial. Dallas, TX.

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Jason Bowen, Southington, CT

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Rima Mehta, PNC Investments, Charlotte, NC

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Gus Velleco, Allstate, Charleston, SC