Natural person, a company or other organization that engages in the business of trading securities for its own account or on behalf of its customers.
1
Teed joined Raymond James & Associates, Raymond James' traditional employee broker-dealer division.
2
Vest, the Irving, Texas-based independent broker-dealer with a focus on tax professionals.
3
The advisers joined Raymond James & Associates, Raymond James' traditional employee broker-dealer.
4
LPL attributed the declines to its consolidation of previously acquired broker-dealer units.
5
The charges would be linked to Goldman's clearing trades for a broker-dealer.
6
The advisers joined Raymond James & Associates, the firm's employee broker-dealer division.
7
It turned out the broker-dealer did not want to buy Monster Worldwide.
8
BATS has said the speed bump would give IEX's broker-dealer an unfair advantage.
9
Each month, Madoff sent out elaborate statements of trades conducted by his broker-dealer.
10
Picking the right broker-dealer or custodian can be an expensive endeavor.
11
MF GLOBAL The broker-dealer appointed Benita Levy as co-head of the Chicago office.
12
They joined Raymond James' employee broker-dealer division in early December.
13
Generally, advisers who hold broker-dealer licenses are paid by commission.
14
GAINING A FOOTHOLD BR Partners also operates a bank and a broker-dealer in Brazil.
15
Levene was the co-founder of independent broker-dealer Pointe Capital Inc.
16
He is a part of Raymond James & Associates, the company's traditional employee broker-dealer.