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Licence record

Fearnley Securities licences

3 licences are on record for Fearnley Securities. 2 have been checked against an official register.

Back to Fearnley Securities
At a glance
Last checked

Regulation on record for Fearnley Securities

Counts of what is on record, not a rating. Each figure describes the register entries Wikilix holds and the checks it has run against them.

Licences on record
3
Issuing authorities
3
From tier-1 or tier-2 authorities
3
Found on an official register
2

Fearnley Securities has 3 licences on record with Wikilix, issued by 3 authorities across 2 jurisdictions. 3 of them were issued by tier-1 or tier-2 authorities — the regimes with the strictest capital, reporting and client-money rules. We located 2 of 3 on the issuing authority’s own register.

The registers print these licences under FEARNLEY SECURITIES, INC, FEARNLEY SECURITIES, Sapia Partners LLP. Searching a register for the trading brand alone may return nothing — use the name above.

Licence record

Licences by jurisdiction

Every licence on record for Fearnley Securities, grouped by the 2 jurisdictions it is registered in.

3 records
A licence we could not confirm, or one a register has closed, is listed with that finding rather than left out.
Check it yourself

Look these up on the official registers

Each authority below publishes a register you can search. The name a register prints is often a separate legal entity, not the trading brand — search for the name given here.

  • FINRA registerSearch for number 174133, issued to FEARNLEY SECURITIES, INCOpen register
  • SEC registerSearch for number 8-69566, issued to FEARNLEY SECURITIESOpen register
Register links are published by the authorities, not by Wikilix.
Protection

What this licence protects

FINRA's own rules for the firms it authorises.

  • Compensation schemeUp to USD 500000 (SIPC)
  • Complaints routeFINRA Arbitration
  • Maximum leverage1:50
This describes the authority's regime, not how Fearnley Securities applies it.
Frequently Asked Questions

Questions about the licences held by Fearnley Securities

Answered from the register entries on this page.

Most Popular Questions

It publishes a cost and charges document and annual order execution reports rather than a public commission schedule. Pricing is set within the client relationship, and the firm states that clients receive detailed information on payment conditions and total expenses before a service is provided.

Five things, by its own account: investment banking, equity and credit research, equity and credit sales, corporate access, and project finance, with a sector focus on shipping, offshore, energy, industrials, software, professional services and infrastructure.

Treat it with suspicion. The firm does not sell retail trading accounts online, so an offer of one in its name did not come from it. Verify any approach against the switchboard number and office addresses published on the firm's own contact pages before sending money or documents.

There is no indication of that. It is a registry-verified Norwegian company incorporated in 1987, with named management, a named auditor, published audited capital adequacy filings going back over a decade and a full compliance document library. The real risk here is different: because the name belongs to a genuine regulated institution, it is an attractive one for impersonators to borrow.

The firm publishes no list of accepted or restricted jurisdictions anywhere on its site, and it has no online signup with a country selector, so there is nothing to read either way. In practice its offices are in Oslo, London, New York and Singapore, and eligibility is settled case by case during onboarding.

In Norway the firm states it is a member of the Norwegian Investor Compensation Scheme, which covers claims arising from an investment firm's financial inability to repay money or return financial instruments held on a client's behalf. In the United States its broker-dealer entity states membership of the Securities Investor Protection Corporation, covering up to 500,000 dollars per customer including 250,000 dollars of cash.

The question does not really apply, because there is no retail wallet to withdraw from. The firm publishes settlement conventions instead: for foreign exchange spot the ordinary settlement period is three banking days including the trade date, unless otherwise agreed.

By completing the firm's corporate customer application form and returning it to its know-your-customer desk at kyc@fearnleys.com. There is no online registration page and no instant account opening.

None of the usual retail terminals. There is no MetaTrader 4, MetaTrader 5, cTrader or proprietary web trader. The firm publishes research through its own research portal and executes through its sales desks.

No leverage figure is advertised anywhere on the firm's site. Its General Business Terms mention leveraged trading only as something that would require a separate written agreement, which is an institutional arrangement rather than a retail product with a headline ratio.

None is published, because the firm does not offer trading accounts that are funded by deposit. Client relationships are established through a corporate application process rather than an online signup with a deposit threshold.

The Norwegian Register of Business Enterprises gives an incorporation date of 25 November 1987 and a first registration date of 12 March 1995, and records earlier names of Fearnley Fonds AS and Fearnley Fonds ASA. That matches the firm's own account of the securities business being established in 1987.

The operating company is Fearnley Securities AS, a Norwegian aksjeselskap registered under organisation number 945 757 647 with its registered office at Dronning Eufemias gate 8 in Oslo. The firm describes itself as part of the Astrup Fearnley group, ownership of which its company page says passed to the Hans Rasmus Astrup Foundation in 2014.

No. Its published product offer covers listed and unlisted equities, bonds, money market instruments, limited partnership interests, exchange traded funds and notes, and US options. There is no leveraged retail foreign exchange or contract-for-difference product, no advertised spread and no advertised leverage.

Fearnley Securities has 3 licence records with Wikilix, issued by 3 authorities across 2 jurisdictions. A licence on record means an authority published an entry; it is not an endorsement, and Wikilix does not issue authorisations.
Fearnley Securities holds licence records issued by FINRA, SEC, FCA. Each authority’s own record — its tier, jurisdiction and client-protection rules — is linked from this page.
3 of the licence records held by Fearnley Securities come from tier-1 or tier-2 authorities (3 tier-1, 0 tier-2). Those regimes set the strictest capital, reporting and client-money requirements.
We located 2 of the 3 licence records held by Fearnley Securities on the issuing authority’s own register. One has not been looked up yet. An unchecked entry is a gap in our coverage, not a finding against the licence.
The registers print them under FEARNLEY SECURITIES, INC, FEARNLEY SECURITIES, Sapia Partners LLP. A licence is often held by a subsidiary rather than the trading brand, which is why searching a register for the brand name alone can return nothing.
Fearnley Securities has licence records in United States, United Kingdom. A licence applies in the jurisdiction that issued it; it does not by itself cover clients elsewhere.
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