Sell Your Broker Dealer

Sell 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.

Seller Questionnaire

Name of Firm(*)

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Contact Name(*)

Please enter the contact name.

Contact Title(*)

Please enter the contact's title.

CRD Number

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Contact Phone Number(*)

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

Contact Email(*)

Please enter your email address.

Name of Owner(s) / Principal(s)(*)

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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 Are You Selling?

Shell Broker Dealer

Producing Broker Dealer

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

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Please tell us more about your firm, group, production, revenue or service you would like to sell:

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What products and services are you licensed to sell?

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

Other

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Describe Other

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Does the firm conduct investment banking business?

YesNo Please select an option.

Does the firm conduct general securities business?

YesNo Please select an option.

Does the firm do retail business?

YesNo Please select an option.

Does the firm do institutional business?

YesNo Invalid Input

Tell us about the business that has been conducted on the firm:

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Is there a current clearing agreement in place, if so with whom?

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What do you consider your broker dealer's special selling or merging attractions are for another buyer to consider?

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How much revenue does the firm produce?

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How many advisors are licensed with the firm?

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Do the current advisors or owners want to stay with the firm post any transaction?

YesNo Invalid Input

Please select all states that you are 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

D.C.

Puerto Rico

Virgin Islands

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Please provide approximate sale price for your shell broker dealer (please note, the sale price will NOT include any cash, clearing deposit or net capital of the firm):

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Which clearing firm(s) do you currently clear through?

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How many branch offices are currently registered with your broker dealer?

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How many owner/shareholders are there with your broker dealer?

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Do you offer advisors affiliated with your broker dealer ownership?

YesNo Invalid Input

Are you interested selling, merging, other (explain)?

MergingSellingOther Invalid Input

Describe Other

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Please indicate the current product mix of products sold through your B/D (%):

Stocks

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Fixed Annuities

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Bonds

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Variable Annuities

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Fee Based

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Mutual Funds

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Options

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Other

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Percentage Total

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Total number of client accounts:

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Total assets under management (AUM):

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What is the previous year's total gross revenues for the firm?

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What was the previous year's total net revenues for the firm?

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What is the price you would like to sell your broker dealer (please note, the sale price will NOT include any cash, clearing deposit or net capital of the firm):

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Number of employees currently employed with your broker dealer?

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How many advisors are currently registered with your broker dealer?

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What do you consider your B/D's special selling or merging attractions for another buyer to consider?

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Request a Phone Call

Don't have time to complete the seller 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 selling?(*)

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

Message

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