Broker Dealer Firms

Searchable Directory of SEC Registered Broker Dealer Firms.

800 Firms. 5,000 Executives.

Assets under Managment
# of Broker Dealer Reps

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 advise or offer fee-based accounts generally must also register as an investment advisor.

Find a Registered Broker-Dealer

Search the www.brokerdealerfirms.com directory:

Additional Resources

www.PrivateEquityInfo.com

A leading source of information on private equity firms, their investment interests, portfolio companies, and professional biographies. Featuring a regularly updated database of thousands of firms, Private Equity Info is a valuable resource for information on financial buyers, hedge funds, mezzanine investors, small business investment companies, valuation firms, M&A advisory firms and institutional real estate investors.

www.PrivateCompanyList.com

Provides a searchable database of privately held companies.

www.InvestmentAdvisorSearch.com

A compilation of SEC registered investment advisors and their relevant information from FORM ADV.

Connect

Broker Dealer Firms provides up-to-date information on registered firms and executives. We offer the ability to download the data on a pay-per-record basis.
Andy Jones
Founder & President
(512) 777-1010ajones@brokerdealerfirms.com
Kendra Jalbert
Vice President
(512) 777-1010kendra@brokerdealerfirms.com

Disclaimer.

This website is for informational purposes only and is not to be construed as a solicitation or an offer to buy or sell any securities or related financial instruments nor an endorsement of any particular investment advisor firm or individual. No warranty or guarantee of any kind, expressed or implied, is given regarding the accuracy, reliability, veracity, or completeness of the information provided here or by following links from this or any other page within this site, and under no circumstances will the author or service provider be held responsible, or liable for errors, or omissions resulting in any loss or damage caused or alleged to be caused by information contained in the material presented on the site, including but not limited to direct, indirect, incidental, special or consequential damages caused by using the information.