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Firm / Company Information
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Type Of Business
Broker Dealer/RIA
Legal
Insurance
BD/RIA Industry Consultant/Service Provider
Number of years your firm has been a registered independent broker dealer
Number of Registered Representatives licensed with your firm
Is your RIA registered with the SEC?
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No
Is your RIA registered with a State?
Yes
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Number of advisors registered with your firm?
Do any of your Advisors act as 3(21) or 3(38) Fiduciary Advisors?
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Are there any independent advisors transacting business with your firm that are not registered with your firm?
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Please identify how you became aware of IBDC
Is your firm insured under a Professional Liability Insurance Policy
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Does your firm defend financial institutions in arbitrations and civil actions?
Yes
No
In which States is your firm licensed to practice law?
Does your firm represent investors against BDs/RIAs?
Yes
No
Has your firm sponsored an IBDC Risk Management Conference?
Yes
No
Is your firm interested in becoming a sponsor of the IBDC Risk Management Conference and joining the IBDC Consortium?
Yes
No
What is the nature of your company’s business?
Insurance Company
Retail Insurance Broker
Wholesale Insurance Broker
Do you specialize in providing insurance services to BDs/RIAs?
Yes
No
Which insurance products do you specialize in?
Professional Liability
Cyber Security
Management Liability
Fidelity Bonds
Fiduciary Liability
EPLI
Has your firm sponsored an IBDC Risk Management Conference?
Yes
No
Is your firm interested in becoming a sponsor of the IBDC Risk Management Conference and joining the IBDC Consortium?
Yes
No
What is your area of expertise:
Compliance
Cyber Security
Regulatory
Technology
In which technology you specialize?
Has your firm sponsored an IBDC Risk Management Conference?
Yes
No
Is your firm interested in becoming a sponsor of the IBDC Risk Management Conference and joining the IBDC Consortium?
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Primary Contacts For Your Firm
List the individuals who will receive emails and news from IBDC. These individuals will also be designated to access the complimentary hotline services.
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