brokerdealerfirms.comBroker Dealer Firms

Additional Resources Contact Us Searchable Directory of SEC Registered . 800 Firms. 4,000 Executives. Location International All U.S. States Alabama Alaska Arizona Arkansas California Colorado Connecticut Delaware District of Columbia 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 Apply Assets under Managment from To ($ millions) Advanced filters # of Broker Dealer Reps from To 764 4,458 Firms Executives Buy this list $ 764.00 Example File Reset Filters Details 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: Search broker-dealers by state Search broker-dealers by assets under management Search broker-dealers by number of broker-dealer reps 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. Terms and Conditions ✕ These terms and conditions govern the use of the website by the User. License and Use of Service grants the User a limited, non-exclusive, non-transferable license to access and utilize the website solely for its own internal business purposes. The User agrees not to copy the data in whole or in part, for the purpose of publishing or reselling the information. User Accounts The User agrees not to share login information to non-subscribers. Data Contributions Users are invited to contribute data to . In submitting data, the User agrees that it does not breach any confidentiality agreement, copyright or intellectual property right and acknowledges that may use such data without restriction. Ownership of Service The User acknowledges that the data, copyrights, title and other intellectual proprietary rights shall remain the property of . No Reliance makes no representation or warranty that the information contained in the website is accurate, reliable, up-to-date or complete. The User agrees not to take legal action against with respect to any inaccurate information. Limitations of Liability The User agrees that shall not be liable for any failure or inability to provide the service due to circumstances beyond ' reasonable control. Further, the User agrees that will not be liable for any damage to the User's hardware, software or data. © 2006 - 2020 PEI Services Ltd. All Rights Reserved. Details ✕ Download Sample - By ordering broker dealer data, you will receive the contact information for the firms (address, phone, website) as well as the key executives at each firm (name and title). If you elect to include email addresses (optional) for those executives where we have an email address, this will also be included in your file. Although it varies, on average we provide 4 – 5 contacts per firm. Pricing is based on the number of firms in the list + the number of email addresses provided (if you choose to include emails in your purchase). Once you complete the credit card transaction process, we will generate the file and send you an email with your receipt and a link to download the file. If you do not receive the email from us within 15 minutes, please check your Spam folder. If it's not there, contact us . Order Details ✕ 764 4,458 Firms Executives Include Email Addresses ( Add $ 143.50 ) 574 individual emails across 365 firms Checkout $ 907.50 Connect 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) 777-1010 ajones@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. Terms and Conditions © 2004-2020 All Rights Reserved....