Fully SEC-Registered Broker-Dealer
DFA Securities LLC is a fully licensed broker-dealer registered with the U.S. Securities and Exchange Commission (SEC) and overseen by the Financial Industry Regulatory Authority (FINRA). Established in 2009 in Delaware, DFA Securities LLC operates with full regulatory compliance and public disclosure of all executive ownership and licensing credentials.
- SEC Registered Since: 2009
- Legal Structure: Limited Liability Company (LLC)
- Incorporation State: Delaware, USA
- Regulatory Bodies: SEC & FINRA
- Key Officers: David Booth (Chairman), Gerard Herman (COO & CEO), David Butler (Co-CEO), etc.
DFA Securities LLC is committed to delivering secure, AI-driven investment services globally—built on a foundation of regulatory transparency and operational integrity.
