broker-dealer

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Words related to broker-dealer

a financial specialist who trades for his own account and so acts both as a broker and principal

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References in periodicals archive ?
An advisor at another high-consolidation model broker dealer shared with us how he used to invite all the operations people out to a Christmas dinner at a nice restaurant near the home office.
Weiss joins Lava from NYSE Group, where he was a director in the Global Client Group covering broker dealers in US equities.
Brecek will maintain his role as President, allowing him to more fully pursue his passion for building the broker dealer and strengthening relationships with independent representatives.
Invescor has created standards and guidelines to address the concern of the NASD Notice to Members requiring the Broker Dealer and Registered Representative to follow procedural guidelines to ensure that NASD Regulations 2310, 2320, 2820, 3010 and 3040 which encompass Suitability, Due Diligence, Best Execution and Training and Supervision, in addition to all other required regulations, are being met when conducting a life settlement transaction on a variable policy.
Daly was founder and CEO of Greenwich Global Financial Group, Sound Financial Advisors of CT, LLC and Greenwich Global, LLC, an NASD registered broker dealer.
Our intent is on being the best, bringing together all the elements of a premier broker dealer and making sure that every policy, procedure and system surpasses expectations.
FSX is a national organization of Independent NASD Broker Dealer firms, whose purpose is to bring NASD member firms together to share information, provide education and showcase investment opportunities.
As a registered broker-dealer, Chartworth Capital executes securities transactions that require broker dealer registration.
Pacholski added," A recent listing of the top 100 wealth advisors in Barron's included 13 who are in the independent broker dealer/insurance broker dealer space we serve.
Securities and Exchange Commission's recent interpretation of an existing rule that allows credit unions to offer investment services through networking arrangements without being a registered broker dealer," WFS President Keith Pipes said.