Securities and investments can be described as the bread and the cream for an independent broker-dealer who must possess certifications and licenses from the Financial Industry Regulatory Authority. As a self-regulatory organization, these brokers must adhere to fiduciary responsibility requirements while getting registered through the Securities Investor Protection Corporation and filling out an SEC FORM BD. Independent broker-dealer may also be required, but ultimately, hard work and perseverance will be crucial to success in this challenging and rewarding industry.