I work at a FINRA firm. How can I obtain a compliance letter?

If you work at a FINRA firm, we'd be happy to provide you with the documentation you need to open an account with us.

Please see the attached letter of discretionary account management. This document outlines that the investments in your account are fully managed by us and exclusively invested in exchange traded funds.

If your firm requires duplicate statements for you, please have your firm complete a 407 letter and submit it to us here. Feel free to use the 407 letter template attached at the bottom of this article. You should receive confirmation from us that we've updated your account within five days of uploading this document.

If you require further assistance with this process or have other questions regarding compliance, please contact us.

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