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).
Access BrokerCheck
To research our firm or investment professionals, visit FINRA's BrokerCheck website:
Visit FINRA BrokerCheckInformation 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
Our Commitment to Transparency
Spicure Securities LLC is committed to transparency and maintaining the highest standards of professional conduct. We encourage our clients and prospective clients to use FINRA BrokerCheck as part of their due diligence process when selecting a financial services provider.
If you have any questions about our broker-dealer registration or the information available on FINRA BrokerCheck, please contact our Compliance Department at compliance@spicure.com.
Important Notice: Spicure Securities LLC is a member of FINRA and SIPC. Securities investments are not FDIC insured, are not bank guaranteed, and may lose value. Please carefully consider investment objectives, risks, charges, and expenses before investing.