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Licence record

FINRA licence 174133

Holder
Fearnley Securities
Jurisdiction
United States
Licence type
Dealing in securities
Last checked
Sep 14, 2026

This is Wikilix's record of a licence issued by The Financial Industry Regulatory Authority. It sets out what the register says, what we checked, and what the authority's own rules protect.

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Licence intelligence

RecordModified Sep 14, 2026

Licence Verification Record

The Financial Industry Regulatory Authority 174133

Wikilix read the FINRA register on Sep 14, 2026. This is what it said.

Issuing authority
The Financial Industry Regulatory Authority
Name on the register
FEARNLEY SECURITIES, INC
Jurisdiction
United States
Licence type
Dealing in securities
Effective
Aug 12, 2015
Register status
active
Permissions
Broker or dealer retailing corporate equity securities over-the-counter · Broker or dealer selling corporate debt securities · Underwriter or selling group participant (corporate securities other than mutual funds) · Put and call broker or dealer or option writer · Non-exchange member arranging for transactions in listed securities by exchange member · Private placements of securities · Other - ENGAGE IN CORPORATE FINANCE AND MERGERS AND ACQUISITIONS ADVISORY SERVICES INCLUDING IPOS, SECONDARY OFFERINGS, AND FAIRNESS OPINIONS. CHAPERONE ACTIVITIES OF FOREIGN BROKER-DEALERS THROUGH ARRANGEMENTS THAT ARE CONSISTENT WITH SEC RULE 15A-6, INCLUDING BUT NOT LIMITED TO THE POTENTIAL DISTRIBUTION OF RESEARCH PREPARED BY THE PARENT COMPANY.

Checked Sep 14, 2026

A licence record describes what an authority published. It is not an endorsement, and Wikilix does not issue authorisations.

wikilix.com/licenses/the-financial-industry-regulatory-authority/fearnley-securities/174133Fields on file 10 / 11

Our check
Checked

What we checked

We found this licence on the issuing authority's own register.

Wikilix check
Confirmed on the register
Authority strength
Tier 1
Jurisdiction
United States
Last checked
Sep 14, 2026
Register says
active

Exhibit

Register screenshot, captured Sep 14, 2026

Verification note

Confirmed on the FINRA register as FEARNLEY SECURITIES (FINRA membership as an SEC-registered securities broker-dealer). CRD 174133 on the register (basicInformation.firmId = 174133) equals the number stored against FINRA in BROKER CONTEXT; corroborated by the register's SEC# 8-69566 (bdSECNumber "69566") equalling our stored SEC number 8-69566, and by the report PDF's Organization Affiliates section printing "FEARNLEY SECURITIES AS, AN FSA REGULATED SECURITIES FIRM BASED IN OSLO NORWAY. REGISTRATION # 945 757 647, IS THE 100% OWNER OF THE US BASED BROKER-DEALER", where 945 757 647 is exactly the registrationNumber our DB holds for the corporates[] entry Fearnley Securities AS (Norway). The member's main office, 885 THIRD AVENUE, 26TH FLOOR, NEW YORK, NY 10022, matches our corporates[] address for Fearnley Securities, Inc. (United States) exactly.

The register

What the authority publishes

Printed as the register prints it. A field that is missing here is one nobody has recorded, not one the register leaves blank.

Licence number
174133
Issued to
FEARNLEY SECURITIES, INC
Licence type (Wikilix classification)
Dealing in securities
Register status
active
Effective from
Expires
No expiry shown
Permissions
Broker or dealer retailing corporate equity securities over-the-counterBroker or dealer selling corporate debt securitiesUnderwriter or selling group participant (corporate securities other than mutual funds)Put and call broker or dealer or option writerNon-exchange member arranging for transactions in listed securities by exchange memberPrivate placements of securitiesOther - ENGAGE IN CORPORATE FINANCE AND MERGERS AND ACQUISITIONS ADVISORY SERVICES INCLUDING IPOS, SECONDARY OFFERINGS, AND FAIRNESS OPINIONS. CHAPERONE ACTIVITIES OF FOREIGN BROKER-DEALERS THROUGH ARRANGEMENTS THAT ARE CONSISTENT WITH SEC RULE 15A-6, INCLUDING BUT NOT LIMITED TO THE POTENTIAL DISTRIBUTION OF RESEARCH PREPARED BY THE PARENT COMPANY.
Registered address
885 THIRD AVENUE 26TH FLOOR NEW YORK, NY 10022
Telephone
212-277-3600
The authority

About FINRA

The Financial Industry Regulatory Authority is the authority that issued this licence, and the jurisdiction it applies in is United States.

Full name
The Financial Industry Regulatory Authority
Jurisdiction
United States
Strength
Tier 1The strictest regimes: high capital requirements, segregated client money and a compensation scheme.
Established
2007
Oversight
A government or statutory body
Firms we track under it
0 firms
Licences it issues
Broker‑Dealer (SRO) Membership
Typical cost of a licence
USD 150000+
Public register
No public register published
Transparency
High
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.
The holder

Who holds this licence

The licence above is recorded against Fearnley Securities. A licence is issued to a legal company, so the companies below are what you would search a corporate register for.

Broker
Fearnley Securities AS
Named on the register
FEARNLEY SECURITIES, INC
Based in
Norway
Operating
Above 20 years
Wikilix score
83.8the firm’s overall score, not a rating of this licence

Recorded companies

The name this register printed matches Fearnley Securities, Inc. below.

  • Fearnley Securities ASNorway · Reg. 945 757 647 · Nov 25, 1987
  • Fearnley Securities LimitedUnited Kingdom · Reg. 14750088 · Mar 22, 2023
  • Fearnley Securities, Inc.Matches the registerUnited States
  • Fearnley Securities Pte LtdSingapore
Provenance

Where this record came from

Every date below has already happened. We do not publish a promised next-update date, because we do not schedule per-licence re-checks.

Official source
The issuing authority’s registerPublished by the authority, not by Wikilix.
Last checked by Wikilix
Record last edited
When this entry was last changed in our database, which may be a correction rather than a change at the register.
Evidence held
A screenshot of the register entry is on file.
Wikilix records what an authority published. It does not issue or endorse authorisations.
Also on record

Other licences Fearnley Securities holds

2 other licences are on record for Fearnley Securities.

Frequently Asked Questions

Questions about this licence

Answered from this register entry and the authority’s own record.

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.

Yes, but as an investment firm rather than as a forex broker. Its own Licence and Regulations document states that Fearnley Securities AS is licensed and supervised by the Financial Supervisory Authority of Norway and is a member of the Norwegian Investor Compensation Scheme. No licence number is published alongside that statement, and we did not check it against the authority's own register.

Licence 174133 was issued by The Financial Industry Regulatory Authority (FINRA), the financial authority for United States.
Fearnley Securities holds this FINRA licence. A licence on record means the authority published an entry; it is not an endorsement.
We located this entry on the FINRA register. Note that confirming a register ENTRY is not the same as confirming a live licence — the register’s own wording on this page is what states its current standing.
The FINRA register prints it under FEARNLEY SECURITIES, INC, not Fearnley Securities. Licences are often held by a subsidiary rather than the trading brand, which is why searching a register for the brand alone can return nothing.
Wikilix rates FINRA tier 1 — the strictest band, with high capital requirements, segregated client money and a compensation scheme.
This page links straight to the FINRA register. Search it for 174133, and for the name FEARNLEY SECURITIES, INC rather than the trading brand.
Fearnley Securities has 2 other licences on record with Wikilix, across 2 jurisdictions. They are listed further down this page.
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