INTL FCStone Financial Inc., member FINRA/SIPC and registered with the MSRB, is a wholly owned subsidiary of INTL FCStone Inc. The heritage of INTL FCStone Inc. (Nasdaq: INTL) dates back to 1924. Today we are a global, Fortune 500 financial services organization relied upon by thousands of companies around the world for our wide array of services and our in-depth industry knowledge and expertise. The Broker Dealer Correspondent Clearing division of INTL FCStone Financial Inc. provides securities execution and clearing services. Execution services are provided by INTL’s professionally managed trading desks. Clearing, settlement and custody are provided by Pershing, a BNY Mellon Company, via a tri-party clearing agreement. Tri-party clearing offers distinct benefits for smaller to mid-sized broker-dealer. Benefits include access to top tier clearing, custody, systems and products with lower revenue and AUM requirements, lower clearing costs and a more responsive relationship management experience.
Compliance Solutions is comprised of Schwab Designated Brokerage Services (DBS), a division of Charles Schwab & Co., Inc. (“Schwab”), Member SIPC, and Schwab Compliance Technologies, Inc. (“SchwabCT”), formerly Compliance11, Inc. Schwab Designated Brokerage Services provides brokerage solutions for corporate clients who monitor their employees’ securities activity. SchwabCT provides technology solutions for corporate clients to help facilitate their compliance technology program implementation. Schwab Compliance Technologies, Inc. and Charles Schwab & Co., Inc. are separate but affiliated entities, and each is a subsidiary of The Charles Schwab Corporation.
Meridian-IQ, powered by S&P Capital IQ Research, is the
newest, deepest and most up-to-date database of financial intermediaries on the
market. We have hundreds of data points
on every RIA and Financial Advisors across the country, with unique and
actionable information that no other firm possesses. Meridian-IQ, developed by industry leading
professionals, has workflow tools that make it easier to market and analyze
Financial Firms and Advisors within the financial services industry.
Solomon Exam Prep has helped thousands of financial professionals pass their FINRA, MSRB, and NASAA Series 6, 7, 24, 26, 27, 28, 51, 52, 53, 55, 62, 63, 65, 66, 79, 82 and 99 exams. Solomon's innovative study system consists of exam study guides, online exam simulators, audiobooks, on-demand study courses, workbooks, and mobile apps. Solomon learning solutions are designed to engage both the financial services novice and expert and help students understand and successfully apply their learning within a testing environment. Solomon exam experts bring a wealth of industry knowledge, as well as a deep understanding of adult learning strategies. At Solomon, we focus on the content and on the process, not on the questions.
Global Relay is the
leading provider of cloud-based electronic message archiving, supervision, and
eDiscovery solutions for the global financial sector. Global Relay’s 20,000
customers in 90 countries include 22 of the top 25 global banks. Global Relay
Archive securely captures and preserves email, instant messaging, mobile
messaging, Bloomberg, Thomson Reuters, Twitter, LinkedIn, Facebook and more —
with BlackBerry, iPhone, iPad, Android, Outlook and Web access. Global Relay is
the Message Archiving Vendor in FINRA's Compliance Resource Provider Program.
Global Relay has strategic partnerships worldwide, including an exclusive
global Strategic Partnership for Thomson Reuters Messaging.
Smarsh® delivers cloud-based archiving solutions for the information-driven enterprise. Its centralized platform provides a unified compliance and e-discovery workflow across the entire range of digital communications, including email, public and enterprise social media, websites, instant messaging and mobile messaging. Founded in 2001, Smarsh helps more than 20,000 organizations meet regulatory compliance, e-discovery and record retention requirements. The company is headquartered in Portland, Oregon, with offices in New York City, Atlanta, Boston, Los Angeles and London.
BasisCode Compliance is an enterprise compliance and audit platform that provides investment advisers and broker/dealers an integrated suite of multiple rules-based compliance functions. Centralized and intuitive, our solution spans functionality, from testing and risk assessment to personal trading and certifications, all within a unified solution.