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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Financial technology membership organization Chalice Wealth Partners has announced that Atlanta Consulting Group has selected Chalice Capital Partners as their broker dealer of choice, the company said.
An advisor we've consulted with on and off for over seven years has been unhappy with his broker dealer situation, feeling that the service is subpar and that his expenses on advisory are too high.
department in a broker dealer: that compliance officers should be in a
This is reflected in another conversation of mine with a recruiter who had just left a large insurance-owned broker dealer. He shared a story about the president of his former broker-dealer who seemed fixated on pleasing upper management of the insurance parent company.
Thalmann Commodities is an Independent Broker Dealer offering worldwide coverage of Commodities, Financial Futures and Options and FX Markets.
"Variable insurance products and annuities have to be run through a broker dealer," says Bob Taylor, CEO of Advisor Alliance, Rogers, Ark.
Those were supposed to be the new measures in place for determining a broker dealer's net capital.
Sonnenblick Goldman announced that SG Real Estate Securities LLC, a wholly-owned subsidiary of the firm, has been formally accepted by the National Associations of Securities Dealers as a registered Broker Dealer.
Xchange is a contracting, securities registration and insurance licensing administration application targeted to major wire houses, institutional and independent broker dealer clients, as well as major insurance carriers and distributors.
has closed the acquisition of Liquid M Capital, the broker dealer and alternative trading system (ATS) of financial technology company and broker dealer Liquid Markets Group, LLC, the company said.
The wirehouse channel is cutting back dramatically on upfront money offered to join their broker dealer. Also of note is the recent case of Merrill Lynch, which is trying to grow without offering traditional sign-on bonuses.