Legal & Regulation
Regulated & Trusted
Security, privacy, and sound risk controls are built into the platform from the ground up.
Regulatory licenses & registrations
Andescapital is operated by Andes Capital Group LLC — a registered broker-dealer (CRD# 139212, SEC# 8-67202).
SEC Registered
Registered broker-dealer (SEC# 8-67202).
FINRA Member
Member firm — CRD# 139212.
SIPC Protected
Accounts protected up to $500,000 (including $250,000 for cash claims).
State Regulated
Registered to conduct business across all 50 states.
Compliance framework
Anti-Money Laundering
AML program under the BSA and USA PATRIOT Act with transaction monitoring and reporting.
Know Your Customer
Identity, address, and biometric verification at onboarding.
Data Protection
GDPR, CCPA, and SOC 2 Type II controls; AES-256 and TLS 1.3 encryption.
Risk Management
Position limits, circuit breakers, and margin enforcement.
Key legal documents
Andescapital is operated by Andes Capital Group LLC, a broker-dealer registered with the SEC (SEC# 8-67202) and a member of FINRA (CRD# 139212) and SIPC. Securities products are subject to investment risk, including the possible loss of principal. Brokerage services are provided in accordance with applicable federal and state securities laws.