FINRA BrokerCheck

Information about our broker-dealer registration and FINRA BrokerCheck.

FINRA BrokerCheck Information

Spicure Securities LLC is a registered broker-dealer and member of the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC).

FINRA BrokerCheck is a free tool that helps investors research the professional backgrounds of current and former FINRA-registered brokerage firms and brokers. It provides information on investment adviser firms registered with the Securities and Exchange Commission (SEC).

Information Available on BrokerCheck

FINRA BrokerCheck provides the following information about broker-dealers and individual brokers:

For Firms

  • Registration and licensing information
  • Summary of firm history
  • Operations information
  • Disclosure events such as regulatory actions, arbitrations, and bankruptcies

For Individual Brokers

  • Registration and employment history
  • Professional qualifications
  • Regulatory actions
  • Customer complaints
  • Criminal and civil judicial proceedings
  • Financial matters such as bankruptcies

Feedback and Contact Information

We welcome your feedback on the accessibility of the Spicure website. Please let us know if you encounter any accessibility barriers:

  • Email: accessibility@spicure.com
  • Phone: +1 (800) 555-0123

We try to respond to feedback within 3 business days.

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