The Central Registration Depository (CRD) is a database maintained by the Financial Industry Regulatory Authority (FINRA) since 2007 for all firms and individuals involved in the U.S. securities industry.1 It is used to store and maintain information onregistered securitiesandbrokerfirms, as we...
BrokerCheck is offered and administered by theFinancial Industry Regulatory Authority (FINRA), the largest non-governmental securities firm regulator in the United States. The data and information available in BrokerCheck come mainly from theCentral Registration Depository (CRD), the securities industry o...
An Acceptance, Waiver, and Consent (AWC) is FINRA’s version of a settlement or plea agreement following an investigation into an alleged rule violation. States often refer to the agreements as “consent orders.” FINRA uses them as a way to avoid the need for a formal hearing and the cos...
(“SIMNA”) is an SEC registered investment adviser, CRD Number 105820, providing asset management products and services to clients in the US and registered as a Portfolio Manager with the securities regulatory authorities in Canada. Schroder Fund Advisors LLC (“SFA”) is a wholly-owned ...