Buy a Broker Dealer

Buy a Firm or Asset

The Broker Dealer Listing serves as an intermediary to help facilitate the purchase, sale and/or merging of Broker Dealers, Independent RIA's and Assets (books of business). Please complete the questionaire below to tell us more about what you're looking for or trying to achieve.

Protecting your information and identity is our business and all information disclosed to the Broker Dealer Listing is confidential.

Buyer Questionnaire

First Name(*)

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Last Name(*)

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Email(*)

Please enter your email address.

Work Phone(*)

Please enter your phone number (ie: 123-456-7890).

Cell(*)

Please enter your phone number (ie: 123-456-7890).

Fax

Please enter your fax number (ie: 123-456-7890).

Firm Name

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CRD Number

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Address

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City

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State

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Zip Code

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Which Type of Firm or Asset Would You Like to Buy?

Shell Broker Dealer

Producing Broker Dealer

RIA, Individual Practice, Asset Sales, Group of Advisors, Line of Business, Production, Revenue

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A firm that will not have any of the following: production, revenue, clients, advisors.

The firm may have any of the following: production, revenue, client account, advisors, clients.

Tell us more about what you are looking for:

Type of Firm

5K50K100K250K Invalid Input

What products and services should the firm be licensed for?

EMC - Exchange member engaged in exchange commission business other than floor activities

EMF - Exchange member engaged in floor activities

IDM - Broker or dealer making inter-dealer markets in corporate securities over-the-counter

BDR - Broker or dealer retailing corporate equity securities over-the-counter

BDD - Broker or dealer selling corporate debt securities

USG - Underwriter or selling group participant (corporate securities other than mutual funds)

MFU - Mutual fund underwriter or sponsor

MFR - Mutual fund retailer

GSD - U.S. government Securities dealer

GSB - U.S. government securities broker

MSD - Municipal securities dealer

MSB - Municipal securities broker

VLA - Broker or dealer selling variable life insurance or annuities

SSL - Solicitor of time deposits in a financial institution

RES - Real estate syndicator

OGI - Broker or dealer selling oil and gas interests

PCB - Put and call broker or dealer or option writer

BIA - Broker or dealer selling securities of only one issuer or associate issuers (other than mutual funds)

NPB - Broker or dealer selling securities of non-profit organizations (e.g., churches, hospitals)

IAD - Investment advisory services

TAP - Broker or dealer selling tax shelters or limited partnerships in primary distributions

TAS - Broker or dealer selling tax shelters or limited partnerships in the secondary market

NEX - Non-exchange member arranging for transactions in listed securities by exchange member

TRA - Trading securities for own account

PLA - Private placements of securities

MRI - Broker or dealer selling interests in mortgages or other receivables

BNA - Broker or dealer involved in a networking, kiosk, or similar arrangement with a bank, savings bank, association or credit union

INA - Broker or dealer involved in a networking, kiosk, or similar arrangement with a insurance company or agency

Investment Banking

Mergers and Acquisitions

Limited Partnerships

Private Equity

Other

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Describe Other

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Any other special request you may have like software, online trading, ATS or platforms?

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Will the firm conduct investment banking business?

YesNo Please select an option.

Will the firm conduct general securities business?

YesNo Please select an option.

Will the firm do retail business?

YesNo Please select an option.

Will the firm do institutional business?

YesNo Invalid Input

Are you seeking a firm with a current clearing agreement in place?

YesNo Invalid Input

How many registered individuals will need to be licensed with the firm?

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How many offices will the firm need to be approved for?

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Please select all states that you would like the firm to be registered in:

Alabama

Alaska

Arizona

Arkansas

California

Colorado

Connecticut

Delaware

Florida

Georgia

Hawaii

Idaho

Illinois

Indiana

Iowa

Kansas

Kentucky

Louisiana

Maine

Maryland

Massachusetts

Michigan

Minnesota

Mississippi

Missouri

Montana

Nebraska

Nevada

New Hampshire

New Jersey

New Mexico

New York

North Carolina

North Dakota

Ohio

Oklahoma

Oregon

Pennsylvania

Rhode Island

South Carolina

South Dakota

Tennessee

Texas

Utah

Vermont

Virginia

Washington

West Virginia

Wisconsin

Wyoming

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Please tell us more about what you're looking to acquire:

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Request a Phone Call

Don't have time to complete the buyer questionnaire? Request a phone call by entering your information below.

First Name(*)

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Last Name(*)

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Email(*)

Please enter your email address.

Phone(*)

Please enter your phone number (ie: 123-456-7890).

What are you interested in buying?(*)

Shell Broker DealerProducing Broker DealerRIAIndependent PracticeAssetsProducersOther Please select what you are interested in selling.

Message

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