Which Securities Regulatory Bodies are responsible for providing oversight?
E1 Asset Management is a member of the Financial Industry Regulatory Authority (FINRA). FINRA is not a government organization, it is a Self Regulatory Organization. You can search online for E1 by visiting the FINRA’s website (www.finra.org) and searching for us via our CRD Number, which is 46872 or by the name/ individual CRD # of any of our registered advisors.
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