About the United Financial Industry Association

The United Financial Industry Association, Inc (UFIA) was formed to give Broker Dealers, Brokers, Registered Investment Advisors and Investment Advisors the opportunity to be a part of an association that understands their needs and the difficult economic and regulatory environment that they face every day while trying to earn a living for their families.

UFIA was founded by Ken Norensberg, who has been in the Broker Dealer arena for the past fifteen years. Ken recognizes the challenges that face the industry and that sometimes, a lack of basic information can be costly to a firm or an individual's business and reputation.

UFIA provides our members with the compliance tools and information that they need to operate and to be informed with the latest regulatory issues that they face. From comprehensive Written Supervisory Procedures, to basic questions, as well as updates relating to arbitration cases, rules and regulations promulgated by the regulators.

Additionally, UFIA gives its members the opportunity to have access to the contact information of various local, state and federal regulators and lawmakers through a simple click of a button that will enable members to contact the right person for their particular circumstance.

As always, the staff at UFIA loves to hear from everyone. We can be reached at info@ufia.org or 347-284-0110.