Who is registered with FINRA?

Who is registered with FINRA?

You must be registered with FINRA if you're engaged in the securities business of your firm, which includes salespersons, branch managers, department supervisors, partners, officers and directors.

Is Vanguard A FINRA member firm?

Vanguard Brokerage Services is a division of Vanguard Marketing Corporation, member FINRA.

What is Vanguard Capital?

Vanguard Capital operates as a brokerage and investment advisory firm. The Company specializes in buying and selling of securities such as stocks, bonds, mutual funds, and certain other investment products, as well as manages investment portfolios and offers financial planning services.

Is Vanguard A registered broker dealer?

Vanguard Marketing Corporation (VMC) Registered with the Securities and Exchange Commission (SEC) as a Broker-Dealer. ... VMC, doing business as Vanguard Brokerage ServicesĀ® (VBS), is a registered broker-dealer that provides a self-directed brokerage platform for retail clients.

Does Series 24 expire?

To come back to the industry as a Series 24 supervisor, you must take the Series 24 only (expired after two years). No top-off or SIE is required. Assume you hold a Series 24 registration and leave the industry for five years.