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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These new roles for Brecek and Ranney will allow each to play to their strengths in the natural evolution of the firm, and more evenly distribute the ever-growing demands of a successful broker dealer growth strategy.
In addition to aspiring to exceed broker dealer service standards, Madison Avenue Securities also specializes in helping registered representatives supervise their equity-indexed annuity business as recommended by the NASD.
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.
During a recent broker dealer conference, we began discussing the idea of integrating the Cabinet NG and Laser App solutions.