broker-dealer

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broker-dealer

n
(Stock Exchange) another name for stockbroker
ThesaurusAntonymsRelated WordsSynonymsLegend:
Noun1.broker-dealer - a financial specialist who trades for his own account and so acts both as a broker and principalbroker-dealer - a financial specialist who trades for his own account and so acts both as a broker and principal
dealer, principal - the major party to a financial transaction at a stock exchange; buys and sells for his own account
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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.