Finra Contact Number

Contact | United Financial Center

United Financial Center and United Planners are not affiliated. For information concerning the licensing status or disciplinary history of a broker-dealer or BD agent a consumer should contact his or her state securities law administrator or go to FINRA BrokerCheck www.finra.org .

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BrokerCheck - Find a broker, investment or financial advisor

The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms.Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here.. State regulators are governed by their public records laws (not FINRA Rule …

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Order Audit Trail System (OATS) | FINRA.org

(800) 321-6273

by phone at (800) 321-6273; by fax at (888) 345-6275. Please provide your name, title, firm's name, firm's Broker-Dealer Number (if applicable), and a phone number when contacting FINRA’s OATS Helpdesk by phone, fax or email.

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Business Continuity Plan Template for - FINRA

Business Continuity Plan Template for. Small Introducing Firms [Firm Name] Business Continuity Plan (BCP) This optional template is provided to assist small introducing firms in fulfilling their obligations under FINRA Rule 4370 (Business Continuity Plans and Emergency Contact Information).This template is provided as a starting point for developing your firm’s plan.

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Updated: 2 hours ago

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John L Elko, Springdale 15144 Nationwide

Nationwide Investment Services Corporation, member FINRA. Home Office: One Nationwide Plaza, Columbus, OH. Nationwide, the Nationwide N and Eagle and other marks displayed on this page are service marks of Nationwide Mutual Insurance Company, unless

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Updated: 8 hours ago

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How to Contact the New York Regional Office FINRA.org

(212) 858-4200

Contact the Northeast Region Office. By Phone: Main number for the New York office: (212) 858-4200 Between the hours of 9 a.m. and 5 p.m. By Email: FINRA Dispute Resolution staff members can be reached by email. Email addresses use the

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Contact FINRA FINRA.org

Regulatory Contacts. A point of contact to address questions about rules, filing deadlines and compliance resources. Reach out with questions concerning rules, effective dates, deadlines and other regulatory issues. FINRA encourages individuals with

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Contact Us Omni Financial Advisory Group, Inc.

Check the background of your financial professional on FINRA's BrokerCheck. The content is developed from sources believed to be providing accurate information. The information in this material is not intended as tax or legal advice. Please consult

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Investor Contacts FINRA.org

844-574-3577

A toll-free number that senior investors can call to get assistance from FINRA or raise concerns about issues with brokerage accounts and investments. Learn more. Call 844-57-HELPS (844-574-3577) Monday – Friday 9 a.m. – 5 p.m. ET FINRA

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Updated: 8 hours ago

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Home Laidlaw & Company

Laidlaw & Company (UK) Ltd., a FINRA broker-dealer registered in the United States, clears on a fully-disclosed basis through INTL FCStone Financial Inc., a member of the Securities Investor Protection Corporation (SIPC).

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Customer Service Center Transamerica Corporation

Variable products and mutual funds are underwritten and distributed by Transamerica Capital Inc., or Transamerica Investors Securities Corporation, each a broker/ dealer and member of FINRA. Securities and investment advisory services offered by Tra

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Contact Schlumberger Accounting Services Inc.

Check the background of your financial professional on FINRA's BrokerCheck.. The content is developed from sources believed to be providing accurate information.

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Savings Plus service representatives

Justin started working in the financial service industry in 2007 and has been a licensed Retirement Specialist with Savings Plus since 2020. He graduated from California State University, Sacramento with a Bachelor’s degree in Finance, holds FINRA S

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Shareholder account services J.P. Morgan Asset Management

JPMorgan Distribution Services, Inc. is a member of FINRA FINRA's BrokerCheck INFORMATION REGARDING COMMINGLED FUNDS: For additional information regarding the Commingled Pension Trust Funds of JPMorgan Chase Bank, N.A., please contact your …

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Updated: 7 hours ago

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Contact Us W.G. Nielsen

About Us. W.G. Nielsen & Co. is an independently owned FINRA investment banking firm, which specializes in negotiating mergers and acquisitions, with an emphasis on sell-side representation, and structuring creative financing solutions for privately

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Contact WoodmenLife

877-664-3332

This is a solicitation of insurance and an agent may contact you. Securities are offered through Woodmen Financial Services, Inc. (WFS), 1700 Farnam Street, Omaha, NE 68102, 877-664-3332, member FINRA/SIPC, a wholly owned subsidiary of W

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Ozark National Life

(816) 842-6300

Shares are not federally insured by the FDIC, the Federal Reserve Board or any other government agency. FINRA's BrokerCheck. N.I.S. Financial Services. 500 E. 9th Street. Kansas City, MO 64106. Phone: (816) 842-6300. Fax: (816) 471-698

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Updated: 7 hours ago

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Raymond James USB

Check our background with FINRA’s BrokerCheck * Securities offered through Raymond James Financial Services, Inc. Member FINRA/SIPC, an independent broker/dealer, and are not insured by bank insurance, the FDIC or any other government agency, are no

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K/H Financial K/H Financial

Securities offered through Raymond James Financial Services, Inc., member FINRA/SIPC Raymond James financial advisors may only conduct business with residents of the states and/or jurisdictions for which they are properly registered. Therefore, a re

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Life Insurance That's Been Giving Back Since 1890

877-664-3332

This is a solicitation of insurance and an agent may contact you. Securities are offered through Woodmen Financial Services, Inc. (WFS), 1700 Farnam Street, Omaha, NE 68102, 877-664-3332, member FINRA/SIPC, a wholly owned subsidiary of W

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Updated: 8 hours ago

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Home Lacamas Financial Group

Securities and Advisory services offered through LPL Financial. A registered investment advisor. Member FINRA & SIPC. The LPL Financial representative associated with this website may discuss and/or transact securities business only with …

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Who Is Your Trusted Contact Penn Mutual Central Region

The trusted contact request is a response to this reality. The Financial Industry Regulatory Authority (FINRA) now requires that investment firms make reasonable efforts to acquire the name and contact info of a person you trust. HTK i

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edward jones legal department phone number

201605234790

This company does respond, but not as often as you'd expect them to. with claims against U.S. brokerage firms through FINRA. Edward Jones . 2016052347901 (Feb. 24, 2017). 1-877-370-2627. Age 77 years old . You can find contact details fo

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FINRA Gateway FINRA.org

Technology shouldn't slow you down—it should make you more efficient. That's why FINRA has launched the new FINRA Gateway. The new compliance portal, powered by FINRA's Digital Experience Transformation, is designed to streamline the FINRA compliance and reporting experience by providing a more flexible solution that can be customized to target your specific …

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Contact Us CATNMSPLAN

The FINRA CAT Helpdesk is the primary source for answers to questions about CAT, including questions regarding: clock synchronization, firm reporting responsibilities, interpretive questions, technical specifications for reporting to CAT

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Transamerica Financial Life Insurance Company Licensing

Transamerica Capital, Inc., Member FINRA, SIPC. This material was prepared for general distribution. It is being provided for informational purposes only and should not be viewed as an investment recommendation.

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Updated: 5 hours ago

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Contact 21st Century Financial

4333 330.668

Registered Representative of, and Securities and Investment Advisory services offered through Hornor, Townsend & Kent, LLC, (HTK), Registered Investment Advisor, Member FINRA/ SIPC, 130 Springside Drive Suite 100, Akron, OH 44333 330.668

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What is Life Insurance WoodmenLife : WoodmenLife

This is a solicitation of insurance and an agent may contact you. Securities are offered through Woodmen Financial Services, Inc., 1700 Farnam Street, Omaha, NE 68102, member FINRA/SIPC, a wholly owned subsidiary of Woodmen of the …

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Member Registration

309-558-3100

Securities offered through MWA Financial Services Inc., a wholly owned subsidiary of Modern Woodmen of America, 1701 1st Avenue, Rock Island, IL 61201, 309-558-3100. Member: FINRA , SIPC .

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Updated: 3 hours ago

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Find a Representative for Life Insurance Near You

877-664-3332

This is a solicitation of insurance and an agent may contact you. Securities are offered through Woodmen Financial Services, Inc. (WFS), 1700 Farnam Street, Omaha, NE 68102, 877-664-3332, member FINRA/SIPC, a wholly owned subsidiary of W

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Updated: 2 hours ago

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AXA Advisors Lawsuit "FINRA" Investment Fraud Lawyers

AXA Advisors Lawsuit “FINRA” Complaints. AXA Investors Seeking to Recover Losses. According to financial regulators in New York, AXA’s emphasis on pushing Variable Annuity investments on unwary investors has triggered widespread concerns: In 2010, t

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Your Final Checklist Before Moving into share.arvest.com

Investment products and services provided by Arvest Investments, Inc., doing business as Arvest Wealth Management, member FINRA/SIPC, an SEC registered investment adviser and a subsidiary of Arvest Bank. Securities offered and cleared through Pershi

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Contact – The Nest Egg Financial Group LLC

Phone Number. Items of Concern * Name. Submit. Securities and investment advisory services are offered through Woodbury Financial Services, Inc. (WFS) member FINRA/ SIPC. WFS is separately owned and other entities and/or marketing names,

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About Us A.D.Banker & Company

About A.D.Banker. For more than 40 years, prelicensing candidates have trusted A. D. Banker & Company to provide them with the information needed to pass insurance and FINRA licensing exams. Courses are cross-referenced with the exam content outline

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RIA FINRA FINRA Phone Numbers RIA Compliance

RIA Compliance Group has put together a thorough list of SEC contacts including industry professional contacts, all of the Districts, and investment advisor issue information. Search below for the contact information you need and reach out to …

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Insurance and Securities Licensing School A.D.Banker

Pass your FINRA exams starting with Securities Industry Essentials and then your Series 6, 63, 65, and 7 top-off exams. Learn More.

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Contact Cohen Financial Group

Securities and Advisory services offered through LPL Financial. A registered investment advisor. Member FINRA & SIPC. The LPL Financial representative associated with this website may discuss and/or transact securities business only with residents o

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Titan We're Your Investment Team

Brokerage services are provided to Titan Clients by Apex Clearing, an SEC registered broker-dealer and member FINRA/SIPC. For more information, see our disclosures. Information provided by Titan Support is for informational and general educational p

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Updated: 3 hours ago

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Retirement Plans The Standard

The Standard is the marketing name for StanCorp Financial Group, Inc., and its subsidiaries. StanCorp Equities, Inc., member FINRA , wholesales a group annuity contract issued by Standard Insurance Company and a mutual fund trust platform for retire

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Central Registration Depository (CRD) | FINRA.org

FINRA is responsible for the Central Registration Depository (CRD®) program, which supports the licensing and registration filing requirements of the U.S. securities industry and its regulators. The CRD program covers the registration records of broker-dealer firms, branch offices and their associated individuals, including their qualification, employment and disclosure histories; it …

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The Best Credit Unions for Federal Government Employees

Khadija Khartit is a strategy, investment, and funding expert, and an educator of fintech and strategic finance in top universities. She has been an investor, entrepreneur, and advisor for more than 25 years. She is a FINRA Series 7, 63, and 66 license holder.

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Updated: 2 hours ago

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Investor Alerts | FINRA.org

Boiler room-style calls are characterized by high pressure sales pitches from people who call you out of the blue, working from a list or simply dialing from a phone book. FINRA is issuing this alert because we have seen an increase in …

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FINRA Exams | Prometric

(800) 967-1139

What is the re-schedule and cancellation policy? For detailed information, please review FINRA's cancellation policy. Appointments may be altered using the Reschedule/Cancel option on this Web site or 'Prometric's Automated Voice Response System at: 800-578-6273; both are available 24 hours a day, 7 days a week.

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Updated: 7 hours ago

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Rule 4530 Reporting Requirements | FINRA.org

Firms can submit customer complaints electronically via the FINRA Gateway where they can draft, delete drafts, submit filings, and amend fillings for 30 days after submission. Filers must provide the following information to submit a complaint report: Contact Name; Contact Phone Number; Product Code (4530 Product and Problem Codes)

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FINRA Exams - Firms | Prometric

Welcome Firms! Prometric offers a number of tools and resources for your firm to make registering for, scheduling and taking FINRA exams as easy as possible. All testing options are flexible and secure, because the integrity of your test comes first. ezSeat is a free, web-hosted, self-serve tool that Prometric provides to financial institutions ...

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Updated: 8 hours ago

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Frequently Asked Questions (FAQ) about Fingerprint ...

(833) 794-2009

Broker-Dealers & Funding Portals. FINRA Gateway Call Center (Fingerprint requirements & FINRA system support) Phone: (301) 869-6699 Email. Sterling Client Support (Fingerprint processing assistance) Phone: (833) 794-2009 Email

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NetXInvestor User Guide - Pershing LLC

Pershing Advisor Solutions LLC, member FINRA, SIPC, is a wholly owned subsidiary of The Bank of New York Mellon Corporation (BNY Mellon). Clearing, custody or other brokerage services may be provided by Pershing LLC, member FINRA, NYSE, SIPC. Pershing Advisor Solutions relies on its affiliate Pershing LLC to provide execution services.

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Cybersecurity | FINRA.org

In a number of cases, FINRA has observed that different types of attacks were coordinated and overlapped. July 09, 2019. Podcast. ... Contact FINRA. Investors and other interested parties with questions relating to FINRA's cybersecurity policies and practices should contact Member Supervision CyberTech Team at ...

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Firms We Regulate | FINRA.org

FINRA Regulates Broker-Dealers, Capital Acquisition Brokers, and Funding Portals. A Broker Dealer is in the business of buying or selling securities on behalf of its customers or its own account or both. A Capital Acquisition Broker is a Broker Dealer subject to a narrower rule book. A Funding Portal is a crowd funding intermediary.

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FINRA Fingerprinting - Sterling

FINRA and Sterling will use this information to take the steps necessary to plan for and support your organization's fingerprinting service option. Firms electing to use Sterling fingerprint collection services or in-firm equipment to submit fingerprints and/or submit hard cards will also need to complete an account setup form.

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