This application is for broker-dealer/RIA firms (corporate firm membership). Individual financial advisors may apply for individual financial advisor membership.
To qualify for FSI Firm Membership, applicant must meet the following criteria:
- Must be a broker-dealer or RIA that is in good standing with FINRA or the SEC/state; and
- Must be a retail firm, doing business with the public (not a wholesale distributor only), selling the products of more than one unaffiliated product company.
Who to Contact
Vice President, Business Development