Company Information

Get to know broker/dealer concepts, inc.

Founded in 1997, Broker/Dealer Concepts, Inc. is a specialized consulting firm dedicated to offering comprehensive compliance and operations solutions to financial firms. The company assists broker-dealers and investment advisers with a wide range of services, including FINRA and SEC registration, ongoing compliance management, anti-money laundering (AML) audits, and outsourced operations and financial reporting. Their mission is to provide expert guidance and support to help clients navigate the complex regulatory landscape of the financial industry.

Industry

Financial Legal ServicePRIMARY
Financial Other Service

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broker/dealer concepts, inc.

United States

Founded in

1984 (42 Years)

Founded

Last online: No recent activity

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OVERALL SCORE

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Reviews

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TrustFinance is not a licensed financial advisor and is not affiliated with any financial institutions in your region. We encourage you to do your own research before making any investment decisions.

Regulated

Recommended

IUX

(2,283 reviews)

Mauritius

2015

(10 years)

Security Information :

FSCA

FSC

ASIC

Security Information

Warning

This company is currently Unproved.

Please be cautious of the potential risks!

License

A Grade License

Issued by globally renowned regulators, these licenses ensure the highest trader protection through strict compliance, fund segregation, insurance, and regular audits. Dispute resolution and adherence to AML/CTF standards further enhance security.

B Grade License

Granted by respected regional regulators, these licenses offer robust safety measures such as fund segregation, financial reporting, and compensation schemes. Though slightly less strict than Tier 1, they provide dependable regional protection.

C Grade License

Issued by regulators in emerging markets, these licenses offer basic protections such as minimum capital requirements and AML policies. Oversight is less stringent, so traders should exercise caution and verify safety measures.

D Grade License

From jurisdictions with minimal oversight, these licenses often lack key protections like fund segregation and insurance. While attractive for operational flexibility, they pose higher risks to traders.

TrustFinance is not a licensed financial advisor and is not affiliated with any financial institutions in your region. We encourage you to do your own research before making any investment decisions.