What role does Vested’s US broker dealer license play?
Vested’s US broker-dealer license (held via VF Securities, Inc.) means the platform is a legally accountable financial institution, not just a tech interface.
Its role breaks down into three key functions:
Its role breaks down into three key functions:
- Legal Ownership of the Relationship: While a back-end clearing broker handles execution and custody, Vested legally owns and manages your direct client relationship and account onboarding.
- Regulatory Compliance: The license legally binds Vested to strictly enforce US federal securities laws, including continuous Identity Verification (KYC/CIP), Anti-Money Laundering (AML) monitoring, and maintaining strict Net Capital Requirements to ensure operational stability.
- Investor Protection: It subjects Vested to Regulation Best Interest (Reg BI), requiring all recommendations to serve your best interests. It also mandates SIPC membership, securing your assets up to $500,000, and grants you direct access to FINRA’s dispute resolution mechanisms.
Below is a graphical comparison of this structure to the Indian market's structure:
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