Any individual or firm, other than a bank, which buys and sells securities for itself and others. Called an agent or broker when buying securities and a principal or dealer when selling them.
A securities brokerage firm, usually registered with the SEC and with the state in which it does business, engaging in the business of buying and selling securities to or for customers.
Firms that act as securities dealers or brokers, or perform both functions. A broker is an individual or firm who acts as an intermediary between a buyer and seller, usually charging a commission. A dealer is any person or company in the business of buying and selling securities for his or her own account, through a broker or otherwise.
An individual or, more commonly, a group of individuals who have met certain standards and are licensed to buy and sell securities for others (broker) for their own accounts (dealer).
Person or firm that is registered to buy and sell securities for others and also for its own account.
As a broker, acts as an agent employed to effect bargains and contracts in securities, as a middleman between other persons, for compensation commonly called brokerage. As a dealer, trades securities as a market maker and/or principal with other dealers and with customers.
A business entity licensed and registered with the Securities and Exchange Commission (SEC) and therefore possessing the legal right to offer securities products to the public. An agent selling variable life products and related securities (such as mutual funds) must be registered with a broker-dealer.
a firm or individual who offers and sells securities to the public
an affiliate of an issuer (or selling security holder) and it is a distribution participant in a distribution of the issuer's securities
a NASD member firm that not only handles transactions for customers but also buys securities for its own accounts and then sells those securities to its customers for a profit
an institution that has registered with the SEC in order to have the ability to buy and sell securities for customers as well as for its own account
A firm that handles transactions for its customers and also purchases securities for its own account, selling them to customers.
A securities firm buys and sells securities in the secondary market on behalf of its clients for a commission. The term " broker" also referred to an employee of the firm who conducts such activities .
An entity that handles orders to sell securities, commodities or other property. The Debt Accounting Branch may liquidate securities through a broker-dealer who maintains a local custodial account to facilitate the deposit and transfer of funds.
A licensed stock brokerage firm.
A securities firm that is acting as a broker or intermediary and/ or dealer or principal in a transaction; most securities firms act in both capacities.
person or firm that provides information or advice to customers regarding the sale and/or purchase of securities, serves as a financial intermediary between buyers and sellers of securities, and supervises the sales process to make sure that salespeople comply with all applicable regulations.
A securities firm that is acting as a brokeror intermediaryand/or a dealer or principal in a transaction. Most securities firms act in both capacities.
A firm that buys and sells mutual fund shares and other securities from and to investors.
A firm or individual legally authorized to buy and sell securities for others or for their own account. Brokers act as agents who purchase for others, and dealers act as principals who trade securities for their own account.
An entity engaged in the business of buying and selling securities.
another name for a brokerage firm.
An individual or firm that buys or sells mutual funds or other securities for the public.
another term for a brokerage firm
An individual or firm that executes orders on behalf of clients, usually registered with the Securities and Exchange Commission.
A securities firm engaged in both the buying and selling of securities.
A firm that sells mutual funds or other securities to investors.
Any person, other than a bank, engaged in the business of buying or selling securities on her or his own behalf for others.
A broker-dealer is a company that trades in securities for customers as well as for its own account. In the United States, a broker-dealer has to be registered with the U.S. Securities and Exchange Commission.
