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SECTION II - PRODUCING BROKER DEALERS FOR SALE
Producing Broker Dealers where the price is negotiable, while all offers must
go through Broker Dealer Market to be presented to the seller for acceptance.
Prices do not include Net Capital. Please Note: Many firms,
some recognizable, are NOT listed publicly, for privacy reasons.
#87 (5K Net Cap)
Established in 1988. Approved to sell Broker or Dealer retailing corporate
equity securities over-the-counter (BDR), Broker or Dealer selling
corporate debt securities (BDD), Mutual fund retailer (MFR) and Municipal
Securities Dealer (MSD). Registered in 10 states. Product mix is 20%
Stocks, 75% Bonds, 4% MF and 1% Variables.. This firm has 520 client
accounts with 7 MM in AUM. Gross revenues for 2008 - $267K, 2009 – $244K.
TOP NOTCH CLEARING FIRM. Principal may stay with new owners. Offered at
$255,000.00
#89 (250K Net Cap)
Established in 1972. Approved to sell Approved to sell Broker or Dealer
retailing corporate equity securities over-the-counter (BDR), Put and call
broker or dealer or option writer (PCB), Mutual fund retailer (MFR),
Municipal securities broker (MSB) and Municipal Securities Dealer (MSD)..
Registered in 2 states. Product mix is 100% Stocks. This firm has 800
client accounts with 24MM in AUM. Gross revenues for 2008 – 180K, 2009 –
168K. THIS IS A RETAIL SELF CLEARING FIRM. 1 Minor ding over 20 years ago.
Principal will stay with new owners. Offered at $1,550,000.00
#90 (100K Net Cap)
Established in 2000. Approved to sell Broker or Dealer making inter-dealer
markets in corporate securities over-the-counter (IDM), Broker or Dealer
retailing corporate equity securities over-the-counter (BDR), Broker or
Dealer selling corporate debt securities (BDD), Mutual fund retailer
(MFR), Privte Placement of securities (PLA), Put and call broker or dealer
or option writer (PCB) and Trading securities for own account (TRA).
Registered in 14 states.. This firm has 160+ client accounts with 20MM in
AUM. Gross revenues YTD $600K+. TOP NOTCH CLEARING FIRM. This BD has NEVER
had any Regulatory Issues or Complaints. Principal may stay with new
owners. Offered at $600,000.00
#91 (50K Net Cap) Established in 2004. Approved to sell Broker or Dealer retailing corporate equity securities over-the-counter (BDR), Private Placement of securities (PLA), Underwriter or selling group participant (corporate securities other than mutual funds) (USG), Non-exchange member arranging for transactions in listed securities by exchange member (NEX), Only Institutional Client Accounts and Prepare equity research for small and mid cap growth and value companies.. Registered in 15 states. Product mix is 90% Stocks and 10% Investment Banking. This firm has 200 client accounts. Gross revenues for 2007 - 3.4MM, 2008 - 2.5MM. tOP nOTCH CLEARING FIRM. This BD has NEVER had any Regulatory Issues or Complaints. This firm is also registered with BATS Exchange, Inc. and NYSE Arca, Inc. Principals and 10 Brokers will stay with new owners. Offered at $4,500,000.00 View Membership Agreement.
#92 (5K Net Cap) Established in 1984. Approved to sell Broker or Dealer retailing corporate equity securities over-the-counter (BDR), Broker or dealer selling variable life or insurance or annuities (VLA), Mutual fund retailer (MFR), and Municipal securities broker (MSB).. Registered in 4 states. Product mix is 100 Mutual funds. This firm has 200+MM in client Assets. Gross revenues for 2008 – 2MM. tOP nOTCH CLEARING FIRM. This firm is approved for 7 OSJ locations and 16 Persons. This BD has NEVER had any Regulatory Issues or Complaints. Principal may stay with new owners. Offered at $4,000,000.00 View Membership Agreement.
#93 (5K Net Cap) Established in 1978. Approved to sell Broker or Dealer retailing corporate equity securities over-the-counter (BDR), Broker or Dealer selling corporate debt securities (BDD), Mutual fund retailer (MFR), U.S. government securities broker (GSB), Municipal securities broker (MSB), Broker or dealer selling variable life or insurance or annuities (VLA), Put and call broker or dealer or option writer (PCB), Broker or dealer selling tax shelters or limited partnerships in primary distributions (TAP) and Non-exchange member arranging for transactions in listed securities by exchange member (NEX).. Registered in 33 states. Product mix is 50% Stocks and 50% Mutual Funds. This firm has 80MM fee based assets, 160MM in AUM. Gross revenues for 2008 – 2.5MM. tOP nOTCH CLEARING FIRM. Principal may stay with new owners. Offered at $3,000,000.00
#94 (5K Net Cap) Incorporated in 2000. Approved to sell Stocks (BDR)(BDD), Bonds, Municipals (MSB)(MSD), Investment Advisory (IAD), Mutual Funds (MFR), Variable Insurance and Variable Annuities (VLA). Product mix is 10% Stocks, 3% Bonds, 62% Mutual Funds (MFR), 2% Fixed Annuities (VLA), 17% Variable, 5% Fee Based, 1% Other. Registered in WA, ID, OR, CA, AZ, MT, CO and WY. 700+ Client Accounts, Managed Assets of 1MM and 28MM IN ASSETS UNDER MANAGEMENT. Gross Revenues 2007 - $289K, 2008 - 309K 2 Branch Offices. 5 Brokers GOOD CLEARING ARRANGEMENT. Principal will stay with new owner. Offered at $300,000.00 View Membership Agreement.
#99 (100K Net Cap) established in 2000. Approved to sell Broker or Dealer retailing corporate equity securities over-the-counter (BDR), Broker or Dealer selling corporate debt securities (BDD), Underwriter or selling group participant (corporate securities other than mutual funds) (USG), Mutual fund retailer (MFR), Broker or dealer selling variable life or insurance or annuities (VLA), Put and call broker or dealer or option writer (PCB), Non-exchange member arranging for transactions in listed securities by exchange member (NEX), Trading for own account (TRA) and Private Placements (PLA). Registered in 52 states. Product mix is 50% Stocks, 5% Bonds, 5% MF's, 5% Fee-based 5%, Options and 30% Other (PP's). This firm has 3000+ with 80MM in AUM. Gross revenues for 2006 2.3MM, 2007 5.9MM. tOP nOTCH CLEARING FIRM. This BD has NEVER had any Regulatory Issues or Complaints. Principal may stay with new owners. Offered at $7,000,000.00 View Membership Agreement.
#101 (5K Net Cap) established in 1986. Discount
Online Trading. Approved to sell Stocks (BDR) (BDD), U.S. Gov Securities
broker (GSB), Municipals (MSB), Mutual Fund Retailer (MFR), Variable Annuities
(VLA), Limited Partnership in tax shelters (TAP), Options (PCB) &
Website Hosting. Registered in 31 States, WITH GOOD CLEARING
ARRANGEMENT. 1 branch office. Product mix is 80% Stocks, 2% Bonds and
18% options (PCB). Approximately 4000 CUSTOMER ACCOUNTS, 29.5MM IN
ASSETS UNDER MANAGEMENT. Gross Revenue in 2006 -1.3MM, 2007 – 1MM. 4
Brokers and 1 Support Employee’s. PRINCIPAL MAY STAY WITH NEW OWNER.
Offered at $1,300,000.00
#106 BD (5K Net Cap). Authorized to do Broker
or Dealer retailing corporate equity securities over-the-counter (BDR),
Broker or Dealer selling corporate debt securities (BDD), Mutual fund
retailer (MFR), U.S. government securities dealer (GSB), Broker or dealer
selling variable life or insurance or annuities (VLA), Put and call broker
or dealer or option writer (PCB), Non-exchange member arranging for transactions
in listed securities by exchange member (NEX) and Municipal securities
broker (MSB). Registered in 43 States. This firm has 50+ Independent Reps,
20+ branches. Revenues in 2006 – 2.5MM, 2007 – 6.5MM, 170 in
AUM and 8MM in Fee Based Assets. This firm is COMPLETELY CLEAN.
Principal will stay with new owners.
Offered at $10,500,000.00
View Membership Agreement.
#107 (5K Net Cap) established in 1972.
Approved for Mutual fund retailer (MFR), Municipal securities dealer
(MSD), Broker or dealer selling variable life or insurance or annuities
(VLA), Broker or dealer selling tax shelters or limited partnerships in
primary distributions (TAP) and Broker or dealer selling tax shelters or
limited partnerships in the secondary market (TAS). Registered in 10
States. 8500 Client Accounts with 90MM in AUM. Product mix is 80% MF’s and
20% Variables. Revenues are 2006 - $523K, 2007 – $700K. Principal may
stay with new owner. Offered at
$1,500,000.00
View Membership Agreement.
#108 (100K Net Cap), THIS IS A SELF-CLEARING
PROPRIETARY TRADING (TRA) FIRM AND HAS BEEN SELF-CLEARING FOR 15 YEARS.
SQUEAKY CLEAN. New application and Approval Process for self-clearing
can take Up To 12-24 Months. Principal will stay through Approval
Process. NO DOWN TIME. Offered at $650,000.00
#110 (100K Net Cap) New York based, established in 1996.
Full service firm excels in raising capital for hedge funds and private
equity, both direct investment and for funds. Approved for all products
and although currently not doing so, this firm is approved for Market
Making. Registered in 30 states product mix is 45% Hedgefunds, 25%
Private Equities,20% Stocks and 10% Mutual funds and bonds. 450 client
accounts and 90MM AUM Substantially more in DVP accounts.
Revenues:
2007 – 1.2MM, 2.2MM and profitable in 2008 CRD
report shows this firm to be COMPLETELY CLEAN and this firm has
EXCELLENT REPUTATION. Approved for 75 persons. Perfect opportunity
for an off shore institution seeking a sophisticated U.S. broker dealer.
Principal and 10 employees may stay with new owners. Offered
at $1,750,000.00
View Membership Agreement.
#113 (5K Net Cap) established in 1998. Approved for Broker or Dealer retailing corporate equity securities over-the-counter (BDR), Mutual fund retailer (MFR), U.S. government securities dealer (GSB), Broker or dealer selling variable life or insurance or annuities (VLA), Put and call broker or dealer or option writer (PCB) and Non-exchange member arranging for transactions in listed securities by exchange member (NEX). Registered in 9 States. Agency only, serving only Institutional Clients. 99% Stocks and 1% Bonds. REVENUES 2006 - $903K and 2007 – $753K. TOP NOTCH CLEARING FIRM. Principal, 3 brokers and 3 support persons will stay with new owner. Offered at $1,125,000.00
#121 ($5K Net Cap) established in 2004.
Approved to sell Stocks, Bonds, Mutual Funds (MFR), Municipals, Options
(PCB), Tax Shelters, and/or Limited Partnerships (Tap), Variable Insurance
and Variable Annuities (VLA). Registered in 15 States. Product Mix, 10%
Stocks, 3% Bonds, 45% Mutual Funds (MFR), 37% Variables, 1% Options ,
3% Limited Partnerships, 1% Fee Based. Firm also approved for RIA.
APPROXIMATELY 2500 IN CUSTOMER ACCOUNTS. $200 MM IN ASSETS UNDER
MANAGEMENT. Gross Revenue 2006-$985K, 2007 - 1.5MM. 21 Independents, 2
Support Employees. Principal will stay with new owner. NO DOWN TIME. YOU
DON’T GET ANY CLEANER THAN THIS! Offered
at $1,800,000.00
View Membership Agreement.
#130 (25K Net Cap) established in 1991.
Approved to sell Stocks (BDD)(BDR), Gov’t Securities Broker (GSB),
Kiosks in Banks or Credit Unions (BNA), Municipals (MSB), Mutual Funds
(MFR), Selling Securities of Non-Profit (NPB), Options (PCB), Private
Placements (PLA), Investment Advisory Services (IAD), Tax Shelters or
Limited Partnerships (TAP), Variable Life Insurance, Variable Annuities
and Insurance Products (VLA). Registered in 24 States. Product Mix 10.5%
Stocks, 45.4% Mutual Funds, 3.3% Fixed Annuities, 37.2% Variable, and
3.6% Insurance. APPROXIMATELY 12,000 + CUSTOMER ACCOUNTS. 425MM IN TOTAL
ASSETS UNDER MANAGEMENT. Gross Revenue 2004-2.8MM, 2005-3.1MM. 83
Brokers, 17 Independents, and 12 Support Employees. 55 Brokers in Banks.
PRINCIPAL WILL STAY THROUGH TRANSITION PERIOD. NO DOWN TIME. Offered
at $6,500,000.00
#131 (50K Net Cap) established in 1987.
Approved to sell Mutual Funds (MFR), Tax Shelters or Limited Partnerships
(TAP), Variable Annuities (VLA). Registered in 30 States. TOP NOTCH
CLEARING ARRANGEMENT. Product Mix 5% Stocks, 1% Bonds, 63% Mutual Funds,
22% Variable, 1% Options, 5% Limited Partnerships, 3% Fee Based. 5400
CUSTOMER ACCOUNTS. 250MM IN ASSETS UNDER MANAGEMENT. Gross Revenue
2004-1.3MM, 2005-1.3MM. 34 Brokers and 3 Support Employees. PRINCIPAL
WILL STAY THROUGH TRANSITION PERIOD WITH NEW OWNER.
Offered at $2,200,000.00
#132 (100K Net Cap) established in 1998.
Approved to sell Stocks (BDR), Options (PCB), Proprietary Trading (TRA),
Non-Exchange member arranging for transactions in listed securities (NEX),
Futures and Commodities. Registered in 35 States. Product Mix 40%
Stocks, 10% Bonds, 10% Mutual Funds, 40% Options. Approximately 1500
Customer Accounts. 20MM IN ASSETS UNDER MANAGEMENT. Gross Revenue
2004-3.1MM, 2005-2.3MM. 40 Brokers. 10 Support Employees, Two Offices.
PRINCIPAL WILL STAY THROUGH TRANSITION PERIOD WITH NEW OWNER. Offered at $3,750,000.00
#138 West Coast BD established in 1998.
Approved to sell Mutual Funds (MFR), Variable Annuities (VLA), Variable
Life, 529 Plans, Life Insurance..
Registered IN 27 STATES. DUAL CLEARING ARRANGEMENT. Product mix is 28%
Mutual Funds, 57% Variables, 15% Misc. APPROXIMATELY 15,000 CUSTOMER
ACCOUNTS. 200 MM + IN ASSETS UNDER MANAGEMENT. Gross Revenues for 2004 –
1.3MM 2005- 1.5MM; Projected 2006 – 3MM. 100+ Independent Brokers
(Approved for 500+). THIS BD HAS ONE OF THE BEST MEMBERSHIP AGREEMENTS
I’VE SEEN IN A LONG TIME. VERY CLEAN with NO ACTIONS. Principal will
stay through approval process for a smooth transition.
Offered at $3,900,000.00
#141 (50K Net Cap) established in 1995.
Approved to sell Stocks (BDD)(BDR), Gov’t Securities Broker (GSB)
, Mutual Funds (MFR), Municipals (MSB), Options (PCB), Limited Partnerships
(TAP), Variable Annuities (VLA), Non-Exchange member arranging for transactions
in listed securities (NEX) and Online Internet Trading. REGISTERED IN 26
STATES WITH GOOD CLEARING ARRANGEMENT. Product mix is 75% Stocks, 15%
Mutual Funds and 10% Variable Annuities. THEY HAVE 25 BRANCH OFFICES
WITH 2500 CLIENT ACCOUNTS, 125MM IN ASSETS UNDER MGMT AND GROSS REVENUES
AT 1.3 MM. This BD has NEVER had any Regulatory Issues or Complaints.
There are currently 4 Owners with 1 staying on along with 3 Brokers, 25
Independents and 1 Support Employee.
Offered at $2,200,000.00
#143 (5K Net Cap) established in 1996. Approved
to sell Stocks (BDD)(BDR), Mutual Funds (MFR), US Gov’t Dealer (GSD),
US Gov’t Broker (GSB), Municipal Dealer (MSD), Municipals Broker
(MSB), Investment Advisory Services (IAD), Tax Shelters and Limited Partnerships
(TAP), Variable life or Variable Annuities (VLA), Private Placements (PLA).
Registered in 15 States with Excellent Clearing Arrangement. Product mix
is 20% Stocks, 10% Bonds, 25% MF, 30% LP, 15% Fee Based. THEY HAVE 1 OSJ,
800 PLUS CLIENT ACCOUNTS, 100MM IN ASSETS UNDER MGMT WITH 3.6MM IN FEE
BASED ASSETS. This is a Clean Firm with a Good Reputation in the
industry with only 2 minor, non customer violations since its inception
(Settled). Principals have almost 50 YEARS CUMULATIVE EXPERIENCE IN
OPERATIONS AND SALES and will stay with New Owner along with 16
Independents including 2 Support Employees. NO DOWN TIME
Offered at $1,750,000.00
#157 (100K Net Cap) established in 1989.
Approved to sell Gov’t Securities Broker (GSB) Mutual Funds (MFR),
Municipals (MSD)(MSB), Private Placements (PLA), Corporate Securities
(BDD) and Securities of Non-Profit Organizations (Churches, Hospitals)
(NPB). Registered in 5 States with Top NOTCH CLEARING ARRANGEMENT. THIS
BD HAS 2 BRANCH OFFICES AND FOCUSES 90% OF THEIR BUSINESS ON MUNI BONDS.
THEIR AVERAGE GROSS REVENUES OVER THE LAST 3 YEARS – 6.4 MM. THEY ARE
COMPLETELY CLEAN WITH NO ACTIONS OR VIOLATIONS EVER. This BD Originates
Municipal Bond Transactions and pays Large BD’s to Market their Product.
A LARGE BD SALES ORGANIZATION COULD CREATE EXPLOSIVE PROFITS. Principal
with 9 Brokers, 1 Independent and 1 Support Employee will Continue with
New Owners. NO DOWN TIME.
Price upon request.
#160 (50K Net Cap) established in 1999.
This BD does General Securities, Registered in 1 State, with EXCELLENT
CLEARING ARRANGEMENT. THEY HAVE 100 INSTITUTIONAL CLIENTS AND ARE A VERY
UNIQUE COMPANY WITH UNLIMITED POTENTIAL. They are COMPLETELY CLEAN with
No Actions or Violations ever. Principal will stay with New Owner for a
Period of 3 Years. Offered at $200,000.00
#88
(25K Net Cap) Established 30 + years ago. Approved to sell Broker or
Dealer retailing corporate equity securities over-the-counter (BDR),
Broker or Dealer selling corporate debt securities (BDD), Broker or
dealer selling variable life or insurance or annuities (VLA), Mutual
fund retailer (MFR),Real estate syndicator, Broker or dealer selling tax
shelters or limited partnerships in primary distributions (TAP) and
Non-exchange member arranging for transactions in listed securities by
exchange member (NEX).. Registered in 6 states. Product mix is 5%
Stocks, 1% Variables and 94% MF's. This firm has 300 client accounts
with 27 MM in AUM. Gross revenues for 2007 – $108K, 2008 – $95K. TOP
NOTCH CLEARING FIRM. This BD has NEVER had any Regulatory Issues or
Complaints. Principal may stay with new owners. Offered at
$200,000.00
#163
BD (5K Net Cap) established in 1998. Authorized to sell Stocks (BDD)(BDR),
Options (PCB), Mutual Funds (MFR), Private Placements (PLA), US Gov’t
Sec (GSB), Municipals (MSB), All Other Fixed Income Instruments (CMO’s,
CD’s, GINNIE MAE’s), Life Accident & Health Insurance, Fixed
Variable Annuities (VLA), Variable Life & Variable Annuities (VLA)
Tax Shelters and limited Partnerships (TAP)(TAS), Non-Exchange member
arranging for transactions in listed securities (NEX) and Commodities.
REGISTERED IN 28 STATES WITH EXCELLENT CLEARING ARRANGEMENT. 3 BRANCH
OFFICES, 450 CLIENT ACCOUNTS AND 11MM IN ASSETS UNDER MANAGEMENT. This
Firm is COMPLETELY CLEAN AND UP TO DATE. THEY HAVE FULL SERVICE
CAPABILITIES FOR INDIVIDUALS \AND INSTITUTIONS, DIVERSE INVESTMENT
PRODUCTS, TECHNOLOGY, STRONG MANAGEMENT EXPERIENCE AND STRONG INDUSTRY
CONTACTS. Principal with 17 Independents, 3 Financial Planners and 3
Support Employees will stay with New Owner. NO DOWN TIME.
Offered at $1,950,000.00