https://www.bancroft4vets.com/
Institutional Broker-Dealer and Investment Advisor | Bancroft Captial
Jun 30, 2026 - Bancroft Capital is a Certified Service-Disabled Veteran-Owned Small Business (SDVOSB) operating an Institutional Broker-Dealer and Investment Advisor.
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https://www.sec.gov/rules-regulations/1999/04/broker-dealer-registration-reporting
SEC.gov | Broker-Dealer Registration and Reporting
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https://www.jotform.com/form-templates/broker-dealer-financial-report-form
Broker-Dealer Financial Report Form Template | Jotform
Collect broker-dealer reporting details for a defined period with the Broker-Dealer Financial Report Form in Jotform, helping finance teams standardize data...
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https://www.fintrx.com/
Comprehensive RIA, Broker Dealer & Family Office Data | FINTRX
AI-powered RIA database with comprehensive data, analytics, and insights on registered investment advisors and family offices.
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https://www.prnewswire.com/news-releases/hidden-road-receives-finra-approval-for-broker-dealer-license-302430941.html?tc=eml_cleartime
Hidden Road Receives FINRA Approval for Broker-Dealer License
/PRNewswire/ -- Hidden Road, the global credit network for institutions, today announced that its wholly-owned subsidiary, Hidden Road Partners CIV US LLC,...
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https://www.finra.org/registration-exams-ce/broker-dealers
Broker-Dealer Registration | FINRA.org
The FINRA broker-dealer (BD) registration process covers a firm's full life cycle, from meeting initial membership standards to updating and renewing its...
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https://arc-securities.com/
ARC Group Securities: U.S. Broker-Dealer With a Global Mindset
Jan 28, 2026 - ARC Group Securities LLC is a FINRA-registered broker-dealer. The firm specializes in providing comprehensive capital markets and investment banking services
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https://www.prweb.com/releases/independent-broker-dealer-recruiter-jon-henschen-publishes-dietrich-bonhoeffer-speaks-to-woke-society-today--860773599.html
Independent broker dealer recruiter Jon Henschen Publishes "Dietrich Bonhoeffer Speaks to Woke...
/PRNewswire-PRWeb/ -- Featured May 25, 2022 on Americanthinker.com, independent broker dealer recruiter Jon Henschen's "Dietrich Bonhoeffer Speaks to Woke...
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https://401kspecialistmag.com/tag/401k-broker-dealer/
401(k) broker-dealer news | 401(k) Specialist Now!
Read the latest 401(k) broker-dealer updates on 401(k) Specialist, delivering clear news articles to help you stay informed on retirement trends.
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https://www.sipc.org/for-members/portal-introduction
SIPC - For Member Firms - Broker-Dealer Portal Introduction
Securities Investor Protection Corporation
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https://www.berichbd.com/
Be Rich Limited - Stock Broker | Stock Dealer - Chittagong - Bangladesh
Be Rich Limited stands as one of Bangladesh leading brokerage houses.
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https://gregorylevinelaw.com/
Gregory Levine Law - Broker-Dealer & RIA and Legal Compliance
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https://ndbf.nebraska.gov/broker-dealer-broker-dealer-agent-registration-renewal-information
Broker-Dealer & Broker-Dealer Agent Registration Renewal Information | Nebraska Banking and Finance
The Nebraska Department of Banking and Finance is a state agency under the direct supervision of the Governor. The Director of Banking and Finance is appointed...
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https://harbourinv.com/
Harbour Investments - Midwest Broker Dealer & RIA
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https://fairygodboss.com/jobs/pnc/counsel-broker-dealer-46f9db6d16bbfe72887ac4f47a8e4fa9
Counsel--Broker-Dealer at PNC Financial Services Group in Washington, DC | Fairygodboss
PNC Financial Services Group is actively hiring a Counsel--Broker-Dealer in Washington, DC . Find out more details about the job description and why you might...
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https://www.ausdal.com/
Home | Ausdal Financial Partners | Independent securities broker-dealer and investment advisor |...
Ausdal Financial Partners is a closely held, independent securities broker dealer serving financial professionals nationwide. In Ausdal you will find a...
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https://form.jotform.com/230025876708055
Transitioning Your Broker Dealer is Easier Than You Think
Please click the link to complete this form.
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https://www.joincfi.com/
Top Independent Broker/Dealer: Join Centaurus Financial
Mar 11, 2025 - Grow your assets under management with Centaurus Financial, a leading independent broker/dealer focused on helping our financial advisers grow their business.
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https://fsbpremier.com/
Waterloo, IA | Financial Advisor — Investment Advisor, Broker-Dealer, Insurance | FSB Premier
With over 30 years of financial experience, we can help simplify your investment strategies and guide you on the journey towards achieving your goals.
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https://www.ifgsd.com/
Independent Financial Group San Diego | Broker-Dealer & RIA
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https://terrawealth.com/
Full-hybrid Financial Services, RIA & Broker Dealer | TerraWealth™
Oct 17, 2025 - Financial services with everything you need to build assets, preserve wealth, and leave a lasting legacy.
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https://nationalfinancialservicesauthority.com/broker-dealer-services/
Broker-Dealer Services: Regulation and Consumer Guide
Broker-dealers occupy a central and heavily regulated position within U.S. securities markets, acting as intermediaries between investors and the markets where...
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https://sequencefinancialspecialists.com/
Investment Banking Firm and Managing Broker Dealer | Charleston, SC
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https://roberts-ryan.com/
Service Disabled Veteran Owned Broker Dealer | Roberts & Ryan
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https://www.interactivebrokers.com/en/general/about/brokerDealerReports.php
Interactive Brokers Rule 606a Quarterly Broker-Dealer Order Routing Report | Interactive Brokers LLC
View Interactive Brokers rule 606a quarterly broker-dealer order routing reports.
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Broker Dealer Back Office Software - BOSS by Incito Technologies
Cutting edge Broker Dealer Back Office Software for ease of reporting, soft$ payout, commission handling and more.
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https://www.mshowells.com/
Full Service Broker Dealer | M.S. Howells & Co.
We specialize in Hybrid RIA, Prime Brokerage, and professional trade desk services providing custom comprehensive solutions for financial professionals.
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https://www.riacompliancelawyer.com/
RIA Compliance Lawyer | Investment Broker-Dealer Attorney | Parker MacIntyre
May 20, 2026 - Call (855) 322-2057 - Parker MacIntyre is dedicated to serving our clients with a range of legal services including RIA Compliance and Investment Broker-Dealer...
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https://www.gov.uk/register-renew-waste-carrier-broker-dealer-england
Register or renew as a waste carrier, broker or dealer - GOV.UK
Register or renew registration with the Environment Agency to transport, buy, sell or broker waste.
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https://www.smarsh.com/solutions/broker-dealers/
Broker-Dealer Compliance Software and Solutions| Smarsh
Smarsh is the leading choice for broker dealer compliance software. Learn more about how we can help you satisfy regulatory obligations.
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https://gtsecurities.net/
Broker Dealer Platform & Broker Dealer Services | GT Securities
Jun 2, 2026 - GT Securities helps you get the FINRA compliance you need using our broker dealer platform and broker dealer services to perform investment banking services.
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https://www.prnewswire.co.uk/news-releases/uphold-to-acquire-u-s-broker-dealer-jnk-securities-after-regulatory-approval-851203760.html
Uphold to Acquire U.S. broker dealer JNK Securities after Regulatory Approval
/PRNewswire/ -- Uphold, a leading digital money platform serving more than five million customers in more than 150 countries, today announces the regulatory...
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https://www.statok.global/
EU-licensed specialist broker-dealer | Statok Brokerage Company
EU-licensed broker-dealer providing integrated brokerage services in the US equity markets. Efficient, reliable trading solutions for professional traders.
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https://cartyco.com/
Investment Broker/Dealer in Memphis | Carty, Harding & Hearn
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https://www.yacapital.com/
Trusted Investment Broker Dealer | Young America Capital
Explore Young America Capital's specialized investment banking and advisory services for diverse industries worldwide.
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Broker Dealer Firms
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The Law and Finance of Broker-Dealer Mark-Ups - Harvard Law School | Harvard Law School
Allen Ferrell, The Law and Finance of Broker-Dealer Mark-Ups (Apr. 7, 2011).
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MWBE Broker Dealer Questionnaire
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https://montereycarcompany.com/
Monterey Car Company - Auto Broker, Car Dealer, Car Buying Services
Have you worked with an Auto Broker? Serving Monterey County for over 16 years in Automotive Sales. Car buying can be stressful and time consuming. The unknows...
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https://job-boards.greenhouse.io/alpaca/jobs/5871015004
Job Application for Operations Associate - Broker Dealer (BD) at Alpaca
Remote - APAC (GIFT CITY)
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https://ibdcconsulting.com/
Home - Independent Broker Dealer Consortium
The IBDC provides Independent Broker Dealers and Registered Investment Advisors access to a community of professionals with demonstrated expertise...
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Broker-Dealer Law Corner | UB Greensfelder
Broker - Dealer Law Corner provides insight on securities fraud, misrepresentation, unauthorized trading, violations of the SEC, and criminal violations.
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https://fyiyachts.com/
Florida Yachts International - Yacht Broker, Dealer, Consultant
Jun 4, 2026 - Miami based Florida Yachts International is the leading yacht broker in South Florida. For Sale Azimut, Benetti, Mangusta, Streamline, Sunseeker, and many...
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https://www.finance.idaho.gov/securities-bureau/investigation-and-examination/securities-forms/broker-dealer-registration-and-reporting-requirements/
Broker-Dealer Registration and Reporting Requirements - Department of Finance
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https://portal.sipc.org/
SIPC - Broker-Dealer Portal
Securities Investor Protection Corporation
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https://lanarkfinancial.com/
Lanark Financial | Full-Service Broker Dealer and RIA
Jul 9, 2026 - July 9, 2026 - Lanark Financial is a broker-dealer and RIA offering wealth management, asset management, and institutional solutions through an independent...
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https://www.redoak.com/
Red Oak – Financial Services Compliance Software - RIA, Broker Dealer
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https://toronto.luxuryyachtsales.ca/
Yacht Broker Toronto | Yacht Dealer | Luxury Yacht Sales Toronto
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https://crypto.com/en-ae/company-news/cryptocom-announces-acquisition-of-sec-registered-broker-dealer-watchdog-capital-llc
Crypto.com Announces Acquisition of SEC Registered Broker-Dealer Watchdog Capital, LLC
SEC Registered Broker-Dealer and Member of FINRA and SIPC Licensed to Offer Equities and Equity Options for Traders in the U.S.
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https://www.bestjetsusa.net/
Best Jets Inc | Aircraft Broker and Dealer | Tampa
At Best Jets Inc, you can count on knowledgeable and experienced aircraft brokers and dealers. We make it easy to buy and sell your aircraft, so look no...
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https://www.justice.gov/archives/opa/pr/three-former-broker-dealer-employees-plead-guilty-manhattan-federal-court-bribery-foreign
Office of Public Affairs | Three Former Broker-dealer Employees Plead Guilty in Manhattan Federal...
Feb 5, 2025 - Three employees of a New York-based U.S. broker-dealer have pleaded guilty for their roles in bribery schemes involving two state economic development banks in...
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https://amerivetsecurities.com/
AmeriVet Securities | Veteran Owned & Operated Broker Dealer
Sep 4, 2025 - An Institutional Broker-Dealer, owned and Operated by Disabled U.S. Military Veterans. We combine the skills and experience of capital markets specialists with...
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https://www.wealthspringsllc.com/
Financial Advisor Kansas City Broker Dealer
Independent Financial Advisor with a solid foundation of excellent service.
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https://www.vfsl.co.tz/
Victory - Tanzania's Premier Stock Broker & Bond Dealer
Your trusted partner for stock and bond investments in Tanzania's financial markets.
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https://imsyachts.com/
IMS Yachts - Broker and Dealer in Fort Lauderdale, Miami and Puerto Rico
Broker and Dealer in Fort Lauderdale, Miami and Puerto Rico
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https://pcsbd.net/
Private Client Services - An RIA Friendly Broker Dealer
Jun 10, 2026 - Private Client Services is an independently owned, full-service broker-dealer. We launch, support and foster the growth of Independent Financial Advisors.
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