Post by cxgllc on Apr 1, 2019 21:21:02 GMT 10
A broker-dealer is a financial firm that trades securities either for its own account or on behalf of other firms. If a broker-dealer firm is trading securities on behalf of a customer account, it is acting as an agent or a broker whereas if the broker-deal firm is trading securities on behalf of its own account, it is acting as a principal or a dealer.
Search the www.brokerdealerfirms.com directory:
1.Search broker-dealers by state
2.Search broker-dealers by assets under management
3.Search broker-dealers by number of broker-dealer reps
Broker Dealer Registration Requirements | Finra Compliance
Search the www.brokerdealerfirms.com directory:
1.Search broker-dealers by state
2.Search broker-dealers by assets under management
3.Search broker-dealers by number of broker-dealer reps
Broker Dealer Registration Requirements | Finra Compliance