Professional Licensing

The Firm is a member of or licensed with the following organizations, agencies and associations:

FINRA – Financial Industry Regulatory Authority
SEC – Securities & Exchange Commission
MSRB – Municipal Securities Rule Making Board
SIPC – Securities Investor Protection Corporation
NASDAQ – The NASDAQ Stock Market, Inc.

Minority/Woman-Owned Business Status

Bley Investment Group, Inc. offers investment and execution services to public and private accounts as a certified minority/woman-owned business. It has the following certifications:

	Historically Underutilized Business “HUB” in the State of Texas. Certification/VID number 1752478239200. Vendor Number 23311
	DW/MBE certified by the North Central Texas Regional Certification Agency, “NCTRCA”, providing services in the areas of Investment Banking and Securities Dealing. Certification # WFD18157N0204.
	WBE certified by The Women’s Business Enterprise National and Southwest Council. Certification # WF24810405.
	Woman-Owned Business Enterprise certified by The State of New York, Empire State Development for Investment Securities (928) & Stock Brokers & Bond Dealers (636). Certification # 48058.
	Women’s Business Enterprise – certified by the State of Massachusetts, SOMWBA, for Financial Services.
	Woman-Owned Business Enterprise Certified by the Commonwealth of Pennsylvania, Department of General Services. Certification #48058-2004.
	California Public Utilities Commission VON: 6KN00003