Certifications &
Memberships
Ironclad Capital LLC holds 13 active regulatory registrations, security certifications, and professional memberships — every one independently verifiable.
13
Active Certifications
7+
Years in Good Standing
100%
Audit Pass Rate
0
Regulatory Sanctions
SEC Registered Investment Adviser
U.S. Securities and Exchange Commission
CRD #3281947
Registered investment adviser under the Investment Advisers Act of 1940. Subject to SEC examination, reporting obligations, and fiduciary standard of care.
Verify at adviserinfo.sec.govFINRA Member
Financial Industry Regulatory Authority
CRD #3281947
Full member of FINRA — the largest independent U.S. securities regulator. Subject to FINRA rules, examinations, and the FINRA arbitration forum.
Verify at BrokerCheckSIPC Member
Securities Investor Protection Corporation
Membership Active
Client assets protected by SIPC up to $500,000 per account, including up to $250,000 for cash. Protection against broker failure — not market risk.
Verify at sipc.orgFinCEN Registered MSB
Financial Crimes Enforcement Network
Reg. #31000272948819
Registered Money Services Business with the U.S. Financial Crimes Enforcement Network. Maintains a comprehensive BSA/AML compliance program.
Verify at fincen.govISO 27001:2022 Certified
International Organization for Standardization
Cert. #US-2022-IC-8847
Internationally recognized standard for information security management systems (ISMS). Certified for all data processing, storage, and transmission activities.
iso.org/27001SOC 2 Type II Certified
American Institute of CPAs (AICPA)
Audit Year: 2025
SOC 2 Type II attestation confirms our security, availability, processing integrity, confidentiality, and privacy controls operate effectively over time.
aicpa.org/socPCI DSS Level 1 Compliant
PCI Security Standards Council
Compliance Year: 2026
Payment Card Industry Data Security Standard Level 1 compliance — the highest tier. Annual on-site QSA assessment and quarterly network scans completed.
pcisecuritystandards.orgBBB Accredited Business · A+
Better Business Bureau
A+ Rating · Since 2018
BBB Accredited Business with an A+ rating — the highest possible. Demonstrated commitment to ethical business practices, transparency, and customer resolution.
Verify at bbb.orgACAMS Institutional Member
Association of Certified Anti-Money Laundering Specialists
Member ID: IC-2019-0042
Institutional membership in the world's largest international AML organization. Compliance staff hold CAMS (Certified Anti-Money Laundering Specialist) designations.
acams.orgGDPR Compliant
EU Data Protection Board
DPO Registered · EU Rep. Appointed
Full compliance with the EU General Data Protection Regulation. Data Protection Officer appointed, EU representative designated, Article 30 records maintained.
edpb.europa.euCFA Institute Member Firm
CFA Institute
Member Firm · GIPS Compliant
CFA Institute member firm committed to the Code of Ethics and Standards of Professional Conduct. Portfolio managers hold CFA charterholder designation.
cfainstitute.orgMSRB Registered
Municipal Securities Rulemaking Board
Reg. #D-2019-0183
Registered with the Municipal Securities Rulemaking Board for municipal securities advisory services. Subject to MSRB rules and SEC enforcement.
msrb.orgOFAC Sanctions Compliant
U.S. Department of the Treasury
Annual Audit: 2026
Full compliance with OFAC sanctions programs. All clients, transactions, and counterparties screened against the SDN List, SSI List, and other consolidated sanctions lists.
ofac.treasury.govEvery certification is independently verifiable
All regulatory registrations, certifications, and memberships listed above are maintained in active good standing and can be independently verified. Ironclad Capital undergoes annual independent audits and is subject to ongoing regulatory examination.
© 2026 Ironclad Capital LLC · SEC CRD #3281947 · FINRA CRD #3281947
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