Broker Dealer Firm:
P. R. Herzig & Co. Inc.

4 Expressway Plaza, Suite 220 Roslyn Heights, NY 11577 United States 516-621-0200 www.prherzig.com
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P. R. Herzig & Co. Inc. is a broker dealer in Roslyn Heights, NY. The firm manages $98.1 million in assets with 3 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.

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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.

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