Broker Dealer Firms
Financial Services - Austin, TX, US
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BrokerDealerFirms.com is a compilation of SEC registered broker dealers and their relevant information from FORM ADV. View over 1,207 firms sorted by name, by state and by assets under management. What is a broker-dealer? A broker-dealer is a financial firm that trades securities either for its own account or on behalf of other firms. If a broker-dealer firm is trading securities on behalf of a customer account, it is acting as an agent or a broker whereas if the broker-deal firm is trading securities on behalf of its own account, it is acting as a principal or a dealer. Broker-Dealer Registration Most brokers and dealers must register with the SEC unless they transact all of their business within one state, in which case they are required to have a state registration. Those broker-dealers that advice or offer fee-based accounts generally must also register as an investment advisor. Investment advisors file Form ADV to register with the SEC or the states. Form ADV contains information about an investment advisor and its business operations. To view the latest filing for a particular registered investment advisor, please visit: www.adviserinfo.sec.gov Find a Registered Broker-Dealer Search the www.brokerdealerfirms.com directory using either: * Search broker-dealers alphabetically * Search broker-dealers by state * Search broker-dealers by assets under management
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