FINRA BrokerCheck Additional Resources In addition to BrokerCheck, individuals considering hiring a broker or investment adviser should searchthe resources of their state securities regulators, which also oversee and may require the registration of brokers or advisers. FINRA also provides two additional su...
certifications, and licenses as well as regulatory actions, violations or complaints you might want to know about. You also can get information about your broker’s firm. There’s no reason not to check. Within 5 Miles of. Within 15 Miles of. Within 25 Miles of. BrokerCheck can tell you...
FINRA Form BD Classic CRD说明书 About Form BD The Form BD is the Uniform Application for Broker-Dealer registration with the SEC, SROs and jurisdictions. It provides background information on the applicant and the nature of its business. It includes lists of the executive officers and ge...
我是新来的,从http://brokercheck.finra.org上抓取经纪人的名字。我想要的html内容只有在展开一些节点之后才会可见。import requestsr = requests.get(url)我想知道经纪人的名字,但它在标签& 浏览5提问于2021-01-31得票数 0 回答已采纳 2回答 使用请求从网页中获取表格内容失败 、、、 我使用请求库创建了一个...
After settling on a fee with your consultant, there are other fees that will be required. First, FINRA requires a fee. FINRANMA fees, which can be found on page 8, vary based on the proposed size of the broker-dealer. And here size means number of registered persons proposed at the st...
past performance is no guarantee of future results. no recommendation or advice is being given as to whether any investment is suitable for a particular investor. any views or opinions expressed above may not reflect those of seeking alpha as a whole. seeking alpha is not a licensed securities...