Broker-Dealers

There are more than 100 broker-dealer members representing more than 160,000 independent advisors who are FINRA-registered and who serve more than 15 million American families and small businesses. We’re your voice in on Capitol Hill, and we stand for three important principles: professional advice and guidance for “Main Street” America, sustaining and growing the independent broker-dealer model, and rulemaking through engagement.

• See how FSI tells your story and how you can educate your representatives about your business and our industry.
• Participate in a Regional Discussion or an online conversation with your peers on FSI Connections.

Broker-Dealer Membership

FSI Broker-Dealer membership is open to retail broker-dealer firms who serve independent contractor registered representatives and meet the following criteria:

• Must be doing business with the public (not a wholesale distributor only),
• Must be selling the products of more than one unaffiliated product company, and
• Must be a member in good standing of the Financial Industry Regulatory Authority (FINRA).