License and Regulations

NORWAY

Fearnley Securities AS is registered in the Norwegian registry of business enterprises under registration no. 945 757 647. Fearnley Securities AS is licensed and supervised by The Financial Supervisory Authority of Norway (“FSA”). Fearnley Securities AS is a member of The Norwegian Investor Compensation Scheme. The Norwegian Investor Compensation Scheme covers claims arising out of an investment firm’s financial inability to repay money owed to or belonging to investors and held on their behalf in connection with investment business; or return to investors any financial instruments belonging to them and held, administered or managed on their behalf in connection with investment business.

Fearnley Securities AS is also a member of the Norwegian Securities Dealers Association, a national trade organization for securities firms.

UNITED STATES

Fearnley Securities, Inc. is a registered securities broker-dealer subject to regulation by the U.S. Securities and Exchange Commission ("SEC") and the Financial Industry Regulatory Authority ("FINRA"). The company’s SEC file number is 8-69566. The company’s FINRA registration number is 174133 and its BrokerCheck details are available here.

Fearnley Securities, Inc. is a Member of  SIPC Logo

RELATED LINKS

FSA NORWAY
NORWEGIAN INVESTOR COMPENSATION SCHEME
NORWEGIAN SECURITIES DEALERS ASSOCIATION
Financial Industry Regulatory Authority
U.S. Securities and Exchange Commission

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