SII Answers Independent Broker/Dealer Frequently Asked Questions

What is a Broker/Dealer?
Every FINRA registered representative is required to affiliate with a FINRA registered broker/dealer. The broker/dealer provides various services (technology, research, training, etc.) and is responsible for supervising the daily activities of the registered representative. The broker/dealer is also responsible for gathering information from each product company and ultimately paying the representatives for the services they provided.
Where can I find out more about financial investments and/or investing?*
There are many books written on financial investments, including several on individual investing and philosophies behind certain investment activities. You might also find courses at your local technical college or seminars offered by financial industry professionals. This industry is regulated by the Financial Industry Regulatory Authority (FINRA) and the Securities Exchange Commission (SEC); who also provide client investment information on their websites. You may also visit the Investor Education Library found within the Investor Resources section of our website.
What does SII do to keep my personal information secure?
As an independent broker/dealer, Information Security is of utmost importance to SII. Please read our Privacy Policy regarding the measures we have taken to ensure your information remains confidential.
What do I do if I'm unable to login to my NETXInvestor account?
Please contact the SII Technology Support Team at (877) 375-3636 to reset a password. At first login, the system will prompt you to reset your password. (Note: A client will still have the ability to reset his/her password for security purposes after the initial login. To reset the password, login to the NETXInvestor website and select the customer service tab, then choose the change password option.)

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