What if I work for or am affiliated with FINRA or a financial institution?
After you’ve signed up for an account, please complete one of the following steps:
If you or your affiliate works at a financial institution, the compliance department at the firm will need to send us an approval letter.
If your affiliation is with Goldman Sachs, please let us know by emailing us at email@example.com
If you or your affiliate works for FINRA, please email us at firstname.lastname@example.org to confirm that information.
Upon receipt of this information, we’ll send duplicate copies of your account statements and trade confirmations to the employer.
No matter what, we’ll need the name of the affiliated person if it’s not you, or is in addition to you.
If you’re not sure whether or not you are a FINRA affiliate, see our definition here.