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Regulatory Information

SEC Disclosure Reports
The link below provides trade order information by quarter for the most recent three quarters.

FINRA Public Disclosure Web Site
As a member of the Financial Industry Regulatory Authority (FINRA), Curian Clearing LLC is required to inform you of the availability of the FINRA BrokerCheck Brochure. To request a copy of the brochure, contact FINRA at (800) 289-9999. You can also access the FINRA BrokerCheck Web site via the link below. To look up background information on current and former FINRA-registered brokerage firms or individual brokers, click on the Start Search button on the main page.