Shell Broker Dealer Inventory

Firms will not have any of the following: clients, client accounts, revenues, assets under management, advisors.

Below is a sample of the Shell Broker Dealers available in inventory.
Some firms available for sale will not be listed below as the owners have requested that we don’t list the firm on our site or that the characteristics of the firm would be identifiable. Please This email address is being protected from spambots. You need JavaScript enabled to view it. or call us at 1-800-657-2540 with a description of what you are looking for in order to receive a full review.


IDDescriptionStatus
25350K Net Cap, firm formed in 1999, SEC/FINRA, no compliance or regulatory disclosures, registered in 50 states, top notch clearing arrangement in place, approved for 11 lines of business: (1) Broker or dealer retailing corporate equity securities over-the-counter; (2) Broker or dealer selling corporate debt securities; (3) Mutual fund retailer; (4) U.S. government securities broker; (5) Municipal securities dealer; (6) Municipal securities broker; (7) Broker or dealer selling variable life insurance and annuities; (8) Broker or dealer selling oil and gas interest; (9) Put and call broker or dealer or option writer; (10) Broker or dealer selling tax shelters or limited partnerships in primary distributions; (11) Private placements of securities. Available
2695K Net Cap, firm formed in 2014, SEC/FINRA, no compliance or regulatory disclosures, registered in 1 state, firm approved for 2 lines of business: (1) Private placements of securities; (2) Mergers and Acquisitions. Firm has NOT conducted any business!Available
2715K Net Cap, firm formed in 2004, SEC/FINRA approved, registered in 2 states, no compliance or regulatory events, approved for 3 lines of business: (1) Broker or dealer retailing corporate equity securities over-the-counter; (2) Mutual Fund Retailer; (3) Put and call broker or dealer or option writer. Firm approved for online trading. Under Contract
2735K Net Cap, firm formed in 2007, SEC/FINRA, no compliance or regulatory disclosures, registered in 4 states, firm approved for 2 lines of business: (1) Private placements of securities; (2) The firm will serve as an advisor on Mergers and Acquisitions.Available
2745K Net Cap, firm approved 1962, SEC/FINRA, no compliance or regulatory disclosures, firm registered in 1 state, approved for 2 lines of business: (1) Mutual fund retailer; (2) Private placements of securities. Available
275100K Net Cap, firm formed in 1996, SEC/FINRA, registered in 1 state, no compliance or regulatory disclosures, approved for 4 lines of business: (1) Underwriter or selling group participant (corporate other than Mutual funds); (2) Mutual fund underwriter or sponsor (3) Exchange Traded Fund distributor; (4) Refer or introduce customers to other broker/dealers for a share in. No accounts or production. Institutional business only.Available
2765K Net Cap, firm approved 2004, SEC/FINRA, no compliance or regulatory disclosures, firm registered in 1 state, approved for 2 lines of business: (1) Broker or dealer selling tax shelters or limited partnerships in primary distributions; (2) Private placements of securities. Available
278100K Net Cap, firm formed in 1998, SEC/FINRA, registered in 5 states, no compliance or regulatory disclosures, approved for 6 lines of business: (1) Broker or dealer making inter-dealer markets in corporation securities over the counter; (2) Broker or dealer selling corporate debt securities; (3) U.S. government securities broker; (4) Municipal securities dealer; (5) Municipal securities broker; (6) Trading securities for own account. Institutional business only.Available
2795K Net Cap, firm approved 1996, SEC/FINRA, no compliance or regulatory disclosures, firm registered in 1 state, approved for 2 lines of business: (1) Investment advisory services; (2) Mergers and acquisitions specialist. Available
2805K Net Cap, firm approved 2009, SEC/FINRA, no compliance or regulatory disclosures, firm registered in 3 states, approved for 2 lines of business: (1) Private placement of securities; (2) Investment banking advisory services in connection with corporate actions for corporate clients. Available
2815K Net Cap, firm approved 1997, SEC/FINRA, no compliance or regulatory disclosures, firm registered in 4 states, approved for 3 lines of business: (1) Broker or dealer selling securities of only one issuer or associate issuers (other than mutual funds); (2) Broker or dealer selling tax shelters or limited partnerships in primary distributions; (3) Private placement of securities. Available
2835K Net Cap, firm formed in 2005, SEC/FINRA approved, registered in 2 states, approved for 3 lines of business: (1) Mutual Fund Retailer; (2) Broker or dealer selling variable life insurance or annuities; (3) Private placement of securities. Available
2845K Net Cap, firm approved 2003, SEC/FINRA, no compliance or regulatory disclosures, firm registered in 2 states, approved for 2 lines of business: (1) Broker or dealer selling tax shelters or limited partnerships in primary distributions; (2) Private placement of securities. Available
285100K Net Cap, firm formed in 1986, SEC/FINRA, registered in 22 states, approved for 10 lines of business: (1) Broker or dealer retailing corporate equity securities over-the-counter; (2) Broker or dealer selling corporate debt securities; (3) Underwriter or selling group participant (corporate securities other than mutual funds); (4) Mutual fund retailer; (5) U.S. government securities broker; (6) Municipal securities broker; (7) Put and call broker or dealer or option writer; (8) Investment advisory services; (9) Non exchange member arranging for transactions in listed securities by exchange member; (10) Trading securities for own account. Available
2865K Net Cap, firm formed in 2005, SEC/FINRA, registered in 2 states, approved for 3 lines of business: (1) Broker or dealer selling corporate debt securities; (2) U.S. government securities broker; (3) Private placement of securities. Available
287100K Net Cap, firm formed in 1989, SEC/FINRA, registered in 51 states, no compliance or regulatory disclosures, approved for 4 lines of business: (1) Mutual fund underwriter or sponsor (2) Investment advisory services; (3) Broker or dealer selling tax shelters or limited partnerships in primary distributions; (4) Private placements of securities. Institutional business only.Under Contract
2885K Net Cap, firm approved 2014, SEC/FINRA, no compliance or regulatory disclosures, firm registered in 9 states, approved for 1 lines of business: (1) broker dealer providing advisory services for institutions that are buying or selling mortgage backed securities. Available
2895K Net Cap, firm approved 2004, SEC/FINRA, no compliance or regulatory disclosures, firm registered in 7 states, approved for 1 lines of business: (1) The applicant will conduct a Finder and or Referral business, in that the applicant will introduce customers derived from the applicants customer base of qualified high net worth individuals and institutions, to issuers and or other broker dealers firms which will effect transactions in private collective investment funds, registered investment company shares or other securities on behalf of such customers. The applicant will not effect transactions in securities. Available
2905K Net Cap, firm approved 2014, SEC/FINRA, no compliance or regulatory disclosures, firm registered in 9 states, approved for 1 lines of business: (1) Private placement of securities. Available
3005K Net Cap, firm formed in 2010, SEC/FINRA, no compliance or regulatory disclosures, registered in 1 state, approved for 4 lines of business: (1) Broker or dealer retailing corporate equity securities over-the-counter; (2) Mutual fund retailer; (3) Broker or dealer selling variable life insurance and annuities; (4) Non-exchange member arranging for transactions in listed securities by exchange member. Sold
3015K Net Cap, firm formed in 2003, SEC/FINRA, no compliance or regulatory disclosures, registered in 3 states, approved for 7 lines of business: (1) Broker or dealer retailing corporate equity securities over-the-counter; (2) Broker or dealer selling corporate debt securities; (3) Mutual fund retailer; (4) U.S. government securities broker; (5) Broker or dealer selling variable life insurance and annuities; (6) Put and call broker or dealer or option writer; (7) Non-exchange member arranging for transactions in listed securities by exchange member. Available
3025K Net Cap, firm formed in 1990, SEC/FINRA, no compliance or regulatory disclosures, registered in 2 states, approved for 3 lines of business: (1) Broker or dealer selling oil and gas interest; (2) Broker or dealer selling tax shelters or limited partnerships in primary distributions; (3) Broker or dealer selling tenant-in-common securities. Under Contract
303100K Net Cap, firm formed in 1999, SEC/FINRA, registered in 12 states, approved for 16 lines of business: (1) Broker or dealer making inter-dealer markets in corporation securities over-the-counter; (2) Broker or dealer retailing corporate equity securities over-the-counter; (3) Broker or dealer selling corporate debt securities; (4) Underwriter or selling group participant (corporate securities other than mutual funds); (5) Mutual fund retailer; (6) Municipal securities dealer; (7) Municipal securities broker; (8) Broker or dealer selling variable life insurance and annuities; (9) Solicitor of time deposits in a financial institution; (10) Put and call broker or dealer or option writer; (11) Investment advisory services; (12) Non-exchange member arranging for transactions in listed securities by exchange member; (13) Trading securities for own account; (14) Private placements of securities; (15) Broker or dealer selling interest in mortgages or other receivables; (16) the company receives payment for listed securities order flow and provide securities data, pricing and markets to other dealers in convertible securities in return for order flow in other convertible securities. Available
3045K Net Cap firm, firm formed in 2013, SEC/FINRA, no compliance or regulatory disclosures, registered in 4 states, approved for 1 line of business: Private placements of securities. Available
3055K Net Cap, firm formed in 1989, SEC/FINRA, no compliance or regulatory disclosures, registered in 4 states, approved for 6 lines of business: (1) Broker or dealer retailing corporate equity securities over-the-counter; (2) Broker or dealer selling corporate debt securities; (3) Mutual fund retailer; (4) U.S. government securities dealer; (5) U.S. government securities broker; (6) Put and call broker or dealer or option writer.Available
3065K Net Cap firm, firm formed in 1984, SEC/FINRA, no compliance or regulatory disclosures, registered in 1 states, approved for 1 line of business: Broker or dealer selling tax shelters or limited partnerships in primary distributions. Available
3075K Net Cap firm, firm formed in 2003, SEC/FINRA, no compliance or regulatory disclosures, registered in 1 state, approved for 2 lines of business: (1) Private placements of securities; (2) Placement agent to private equity and venture capital firms, capital acquisition broker.Available