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Download the PRINT VERSION of the list

Welcome to the August List
ALL
OF OUR LISTINGS ARE EXCLUSIVE.
Section
One contains:
The very popular , easy transfer shells and B/D’s where
the price is fixed. Please do no ask to negotiate the price.
Section
Two contains:
Producing B/D’s where the price is negotiable, while all
offers must go through Broker Dealer Market
to be presented to the seller for acceptance.
Section Three
contains:
Registered Investment Advisor Opportunities
Please
Note:
We
have 25 plus BD's in excess of 5 Million and as much as 1
Billion that are not listed in our public list. Call now
for details.
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SECTION
I - Shell B/Ds For Sale
Clean Broker Dealers being sold WITHOUT production:
Shells. Prices in Section I are NOT negotiable &
do not include Capital. All listed prices are "FIRM".
These prices include finding the seller, assisting in
the due diligence, providing simple purchase
agreement, etc. Please do not ask to negotiate any B/D in Section I.
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#226
(5K Net Cap) incorporated in 2001. Registered in 1 state. Approved for Municipal
securities broker (MSB). CRD shows this firm to be
COMPLETELY CLEAN. Principal will stay through
transition. $50K
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#227
(5K Net Cap) incorporated in 2006. Registered in 2 states. Approved for Broker or
Dealer retailing corporate equity securities
over-the-counter (BDR), Broker or Dealer selling
corporate debt securities (BDD), Mutual fund
retailer (MFR), 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), Non-exchange member
arranging for transactions in listed securities by
exchange member (NEX) and Private Placements
(PLA). This firm holds a two
principal waiver. This is a virgin BD having done
no business. CRD shows this firm to be COMPLETELY
CLEAN. Principal will stay through transition.
$75K |
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#228
(5K Net Cap) incorporated in 2001. Registered in 10 states. Approved for Private
Placements (PLA). This firm holds a two
principal waiver. CRD shows this firm to be
COMPLETELY CLEAN. Principal will stay through
transition. $55K
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#229
(5K Net Cap) incorporated in 1989. Registered in 7 states. Approved for Private
Placements (PLA) and Underwriter or selling group
participant (corporate securities other than
mutual funds) (USG). This firm holds a two
principal waiver. CRD shows this firm to be
COMPLETELY CLEAN. Principal will stay through
transition. $65K |
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#231 (5K
Net Cap) incorporated in 2001.
Registered in 1 states. Approved for Private
Placements (PLA)
. This firm
holds a two principal waiver. Principal will stay
through transition. $55K
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#232
(5K
Net Cap) incorporated in 1975.
Registered in
1
state. Approved for
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), Municipal
securities broker (MSB), and Investment advisory
services (IAD).
This firm holds a two principal waiver. CRD shows
this firm to be COMPLETELY CLEAN FOR OVER 30
YEARS. TOP NOTCH CLEARING FIRM. Principal will
stay through transition. $60K |
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#235 (5K
Net Cap) incorporated in 1999. Registered in 1
state. Approved for Commission Sharing. This
firm holds a two principal waiver. Principal will
stay through transition.
$50K |
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#236 (100K Net Cap)
incorporated in 1997. Registered in 1 state.
Approved for Underwriter or selling group
participant (corporate securities other than
mutual funds) (USG), Municipal securities dealer
(MSD), Municipal securities broker (MSB) and
Financial services advisor. This firm holds a two
principal waiver. CRD shows this firm to be
COMPLETELY CLEAN. Principal will stay through
transition. $75K |
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#237
BD (5K Net Cap) in 1989. Registered in 1 state.
Approved for Mutual fund retailer (MFR), Broker or
dealer selling variable life or insurance or
annuities (VLA), Investment advisory services
(IAD), Broker or dealer selling tax shelters or
limited partnerships in primary distributions
(TAP), and Private Placements (PLA). CRD shows
this firm to be COMPLETELY CLEAN. Principal will
stay through transition. THIS WILL NOT LAST!!
$51.5K |
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#239 (5K Net Cap) incorporated in
1999. Registered in 1 state. Approved for
accepting fees for institutional clients. Top
notch clearing firm. CRD shows this firm to be
completely clean. Owner will stay through
transition. $55K |
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#243
(5K Net Cap) incorporated in 2001. Registered in
1 state. Authorized for Mutual fund retailer
(MFR), Broker or dealer selling variable life or
insurance or annuities (VLA). CRD shows this firm
to be completely Clean. Principal will stay
through transition. $55K |
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#244
(5K Net Cap) in 1985.
Registered in 3 States. Approved for Broker or
Dealer retailing corporate equity securities
over-the-counter (BDR), Mutual fund retailer
(MFR), Broker or dealer selling variable life or
insurance or annuities (VLA), Broker or dealer
selling tax shelters or limited partnerships in
primary distributions (TAP), Non-exchange member
arranging for transactions in listed securities by
exchange member (NEX). This firm is approve for 5
branch offices and 20 associated persons.
Principal will stay through approval process.
$55K |
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#246 (5K Net Cap) Incorporated in 1984.
Authorized for Investment advisory services (IAD),
Broker or dealer selling tax shelters or limited
partnerships in primary distributions (TAP) and
Real estate syndicator (RES). Registered in 3
States.
This firm has been in business over 20 years
without any Actions or Violations ever.
Principal will stay through Approval
Process. $60K
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#251 (5K Net Cap) incorporated in 1980.
Registered in 1 State. Approved for Broker or Dealer
retailing corporate equity securities
over-the-counter (BDR), Broker or Dealer selling
corporate debt securities (BDD), Mutual fund
retailer (MFR), Put and call broker or dealer or
option writer (PCB), Investment advisory services
(IAD), 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). CRD shows this firm to be
COMPLETELY CLEAN. Principal will stay through
transition. $64K |
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#290
(5K Net Cap) Incorporated in 1984.
Approved to sell Mutual Funds (MFR), Oil and Gas
Interests (OGI), Tax Shelters and/or Limited
Partnerships (TAP), Variable Insurance, Variable
Annuities (VLA), Approved to wholesale Direct
Participation Programs to FINRA Broker-Dealers.
Registered in 3 States. $50K |
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#304
(5K Net Cap)
Incorporated in 2001. Approved to sell
Mutual Funds (MFR), Life & Health Insurance.
(VLA) Registered in 3 States. PRINCIPAL WILL
STAY THROUGH TRANSITION. NO DOWN TIME.
$40K |
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#305
(5K Net Cap) Incorporated in 2003.
Approved to sell Variable Annuities (VLA), Mutual
Funds (MFR), Life Insurance, Fixed Annuities (VLA)
and Investment Advisory Services. APPROVED FOR 6
OFFICES AND 150 BROKERS. Registered in 8 States.
PRINCIPAL WILL STAY THROUGH TRANSITION
PERIOD.
$95K |
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#225
(100K Net Cap) incorporated in 1999. Registered in 43 states. Approved for 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),U.S. government securities broker (GSB),Municipal
securities broker (MSB), Municipal securities
dealer (MSD), 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),
Non-exchange member arranging for transactions in
listed securities by exchange member (NEX),
Trading for own account (TRA), Private Placements
(PLA), Broker or dealer selling interests in
mortgages or other receivables (MRI), his BD is approved for 3
offices and 25 associated persons. CRD shows this
firm to be COMPLETELY CLEAN. Principal will stay
through transition. $70K |
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#230
(5K
Net Cap) incorporated in
1980.
Registered in 5
states. Approved for Broker or Dealer retailing
corporate equity securities over-the-counter
(BDR), Mutual fund retailer (MFR), 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)
and Private Placements (PLA).
TOP NOTCH CLEARING FIRM. Principal will stay
through transition. $70K
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#233
(5K
Net Cap) incorporated in 2005.
Registered in
1
states. Approved for Private
Placements (PLA) for institutional clients and
may involve commodity-based
transactions using derivative instruments. CRD
shows this firm to be COMPLETELY CLEAN. Principal
will stay through transition. $60K |
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#234
(100K
Net Cap) incorporated in 1992.
Registered in
3
states. Approved for
Trading for own account
(TRA).
This firm holds a two principal waiver. CRD
shows this firm to be COMPLETELY CLEAN.
Principal will stay through transition. $
90K
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#237
BD (5K Net Cap) in 1989. Registered in 1 state.
Approved for Mutual fund retailer (MFR), Broker or
dealer selling variable life or insurance or
annuities (VLA), Investment advisory services
(IAD), Broker or dealer selling tax shelters or
limited partnerships in primary distributions
(TAP), and Private Placements (PLA). CRD shows
this firm to be COMPLETELY CLEAN. Principal will
stay through transition. THIS WILL NOT LAST!!
$51.5K |
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#238
(5K Net Cap) incorporated in 1995.
Registered in 4 states. Approved for 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) and Broker or dealer selling
tax shelters or limited partnerships in primary
distributions (TAP). Principal will stay through
transition. $55K |
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#240
(5K Net Cap) incorporated in
1994. Registered in 4 states. Approved for 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), U.S. government securities broker
(GSB), Put and call broker or dealer or option
writer (PCB), Broker or dealer selling tax
shelters or limited partnerships in primary
distributions (TAP), Non-exchange member arranging
for transactions in listed securities by exchange
member (NEX) and Private Placements (PLA). TOP
NOTCH CLEARING FIRM. Owner will stay through
transition. $64K |
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#245
(50K Net Cap) incorporate in 1995. Registered in 4
States.
Approved for Broker or Dealer retailing corporate
equity securities over-the-counter (BDR), Broker
or Dealer selling corporate debt securities (BDD),
Mutual fund retailer (MFR), Broker or dealer
selling variable life or insurance or annuities
(VLA), Investment advisory services (IAD), U.S.
government securities broker (GSB), 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). Top Notch
Clearing firm. CRD # shows this firm to be clean.
Principal will stay through transition.
$55K |
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#247
(100K Net Cap) incorporated in 1982. Registered in
1 State. Approved for 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), Municipal
securities dealer (MSD), Municipal securities
broker (MSB) and Investment advisory services
(IAD). TOP NOTCH CLEARING FIRM.
Principal will stay through transition.
$50K |
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#248
(5K Net
Cap) incorporated in 2003. Registered in 1 State.
Approved for Referral income. Squeaky Clean.
Principal may stay with new owners.
$50K |
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#249
(5K Net Cap) incorporated in 2003. Virgin
BD having done no business. Approved
for Private Placements (PLA). Registered in 1
State.
CRD shows this firm to be Completely Clean.
Principal will stay through transition.
$55K |
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#252
(5K Net Cap) incorporated in 2005. Approved
for Broker or Dealer selling Corporate Debt
Securities (BDD) and Private Placements (PLA).
Registered in 2
States. CRD shows this
firm to be COMPLETELY CLEAN. Principal will stay
through transition. $60K |
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#253
(5K Net Cap)
incorporated in 1999. Approved for Broker or
Dealer retailing corporate equity securities
over-the-counter (BDR), Broker or dealer selling
tax shelters or limited partnerships in primary
distributions (TAP), Non-exchange member arranging
for transactions in listed securities by exchange
member (NEX) and Private Placements (PLA).
CRD report shows this firm to be COMPLETELY CLEAN.
Principal will stay through transition.
$55K |
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#254
(5K Net Cap) incorporated in 2005. Approved for Private Placements
(PLA). Registered in 1 State. This firm is clean.
$55K |
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#255 (5K Net Cap) incorporated in 1980.
Approved for Broker or Dealer retailing corporate
equity securities over-the-counter (BDR), Mutual
fund retailer (MFR) and Broker or dealer selling
tax shelters or limited partnerships in primary
distributions (TAP). Registered in 2 States.
CRD shows this firm to be clean, 1 arbitration in
1991 all claims DENIED. Principal will stay
through transition.
$45K |
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#256
(5K Net Cap) incorporated in 1995.
Approved for Private Placements (PLA). Registered
in 3 States. This firm has a waiver for the
2 Principal requirement. CRD shows this firm to
be Completely Clean. Principal will stay with
through transition.
$70K |
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#257 (5K Net Cap) Incorporated in 1981.
Registered in 2
States. Approved for Mutual fund
retailer (MFR) and Private Placements (PLA). CRD
Shows this firm to be Completely Clean. Principal
will stay through transition. 100K+ Tax Loss Carry
Forward. $60K |
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#258 (5K Net Cap) incorporated in 2004. Approved for Broker or Dealer selling tax
shelters or limited partnerships in primary
distributions (TAP), Private Placements (PLA) and
Mergers and Acquisitions. Registered in 6 states.
This BD is approved for 150 REPS.
CRD shows this firm to be COMPLETELY CLEAN.
$100K |
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#261 (5K Net Cap) Incorporated in 1988.
Approved for Non-Exchange member arranging for
transactions in listed securities (NEX).
Registered in 1 State. Principal will stay
through transition.
$45K |
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#278
(5K Net Cap) Incorporated in 2004.
Approved for Underwriting or selling Group
Participants (USG), Mergers and Acquisitions, Tax
Shelters or Limited Partnerships (TAP) and Private
Placements (PLA). Registered in 1
State. CRD Report
shows this BD to be completely CLEAN. Principal
may stay with new owners. $60K |
#291
(5K Net Cap) Incorporated in 2003.
Approved to sell Mutual Funds (MFR), Variable
Insurance and/or Variable Annuities (VLA).
Registered in 16 States. NEW BD, EXTREMELY CLEAN!
$40K |
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#315 Incorporated in 2004. BRAND NEW BD. Approved solely for
Private Placements (PLA). Registered in 2
States.
Principal will stay through Approval Process and
Beyond. TURN KEY OPERATION. $70K |
| If
you need financing for your Acquisition, Mark Harris
will personally finance you or will obtain financing
through one of the many Financial Institutions that he
works with. |
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Section
II
- Producing
B/D's For Sale
Broker Dealers
with production. Each firm has unique product mix and
structure. Call for additional information. All prices
in Section Two are negotiable. Please Note: Many firms
are NOT listed publicly, for privacy reasons. If you do
not see what you are looking for, please give a call, we
may well have it...
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#100
(5K Net Cap) Incorporated in 1987. Approved for
Mutual fund retailer (MFR), Broker or dealer selling
variable life or insurance or annuities (VLA),
Municipal securities broker (MSB), and Investment
advisory services (IAD). Registered in 1 state. Product mix is 95% MF's and 5% Fixed Annuities.
This firm has 300 client accounts, with 25MM
in AUM. Gross revenues
for 06 - 145K, 07 – 145K and YTD 38.5K.
FOR OVER
20 YEARS, THIS BD HAS HAD NO REGULATORY ISSUES OR
COMPLAINTS. Principal may stay with new
owners. $175K |
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#101 (5K Net Cap)
Incorporated 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 YTD - 226K. 4 Brokers and 1
Support Employee’s. PRINCIPAL MAY STAY WITH NEW
OWNER. $1.3MM |
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#102
(100K Net Cap) incorporated in 2000. Registered in
49 states. Approved for 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), Underwriter or selling group participant
(corporate securities other than mutual funds)
(USG), Mutual fund retailer (MFR), Municipal
securities broker (MSB), 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), Private Placements (PLA). Revenues in
06 – 5.8mm, 07 – 5.1MM, YTD – 1.3MM. This firm is
and online trading firm and boasts a global presence
as well. Principal will stay with new
owners.
$10.5MM |
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#103
(5K Net Cap) incorporated in 2004.
Registered in 4 States. Approved for
Broker or Dealer retailing corporate equity
securities over-the-counter (BDR), Mutual fund
retailer (MFR), and Put and call broker or dealer or
option writer (PCB). 200 Client Accounts, 1MM in
AUM. Revenues for 06 -$200K, 07- $125K. Principal
May stay with New Owners.
$85K |
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#104
(5K Net Cap) incorporated in 1980’s. Registered in
9 States. Approved for Mutual fund retailer (MFR),
Broker or dealer selling variable life or insurance
or annuities (VLA) and Private Placements (PLA).
Product mix is 40% MF’s, 40% Variables, 10% fixed
and 10% LP’s. 1000+ Client Accounts. Revenues for
2006 – $1.7MM, 2007 – $1.9MM, YTD – $273K. 20+
YEARS Consistent Track Record with Great Cash Flow.
Principal and Brokers will stay with new owners.
$4.5MM |
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#105 (100K Net Cap)
incorporated in 1999. Registered in 9 States. Approved for Broker
or Dealer retailing corporate equity securities
over-the-counter (BDR), Broker or Dealer selling
corporate debt securities (BDD), U.S. government
securities dealer (GSB), Municipal securities broker
(MSB) and Investment advisory services (IAD).
Revenues in 06 - $273K and 07 - $445K. Clients are
Municipal Governments and Authorities. 1 Branch
office. Excellent Clearing Firm. Future business
with Municipalities. Principal May stay with new
owners. $1MM |
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#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. $10.5MM |
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#107
(5K Net Cap) incorporated 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, YTD -
$774K. Principal may stay with new owner. $1.5MM |
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#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 $650K |
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#109 (5K Net Cap) formed in 2002. Registered in
3
States. 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),
Municipal securities broker (MSB) and Broker or
dealer selling tax shelters or limited partnerships
in primary distributions (TAP). This firm has good
reputation with major fund managers. This firm also
holds the waiver for two Principals. INSTITUTIONAL
ONLY and this comes with $60K IN REVENUES as well.
Principal may stay with new owners for 2
years.
$140K |
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#110 (100K
Net Cap) incorporated 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 20% stocks, 10% bonds, 20% mutual funds, 10%
LP’s, 40% other. 450 client accounts and 70MM AUM
Substantially more in DVP accounts. Revenues:, 2007
– 1MM, YTD – over 1MM in first half of 08. CRD
report shows this firm to be COMPLETELY CLEAN and
this firm has EXCELLENT REPUTATION. Approved for 75
persons. Principal may stay with new owners. $1.750
MM |
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#111 (5K Net Cap) incorporated in 1999.
Registered in 42 states. Approved for 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), U.S. government securities dealer (GSB),
Municipal securities broker (MSB), Solicitor of time
deposits in a financial institutions (SSL), Put and
call broker or dealer or option writer (PCB),
Non-exchange member arranging for transactions in
listed securities by exchange member (NEX) and
Private Placements (PLA). Product mix 90% stocks,
1% bonds, 3% mutual funds and 5% options. 800
Client Accounts with 40 MM AUM. Revenues: 2005 -
665K, 2006 - 875K and YTD - 710 K. CRD report shows
this firm to be COMPLETELY CLEAN. Principal and 12
brokers will stay with new owner.
$800K |
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#112 (5K Net Cap) incorporated in 1992.
Approved for Broker or Dealer retailing corporate
equity securities over-the-counter (BDR), Broker or
Dealer selling corporate debt securities (BDD),
Mutual fund retailer (MFR), 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) and a Broker or
dealer selling tax shelters or limited partnerships
in primary distributions (TAP). Registered in
7
States Product mix 45% stocks 25%
bonds 2% mutual funds 5% options and 25% fee based.
200 Client Accounts with 23 MM plus in AUM.
Principals has strong relations with unions. CRD
report shows this firm to be COMPLETELY CLEAN with
TOP-NOTCH clearing firm. Principal will stay with
new owner. $750K |
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#113
(5K Net Cap) incorporated 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. $1.125MM |
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#114
(5K Net Cap) Incorporated in 1992. Authorized
to sell Stocks (BDR), (BDD) Bonds, Variables,
Variable Annuities (VLA), Limited Partnerships
(TAP), Municipal Bonds (MSB), Mutual Funds (MFR),
529’s, RIA and Insurance Agency .
Registered in
28 States. Good Clearing Firm. 85MM in Money Under
Management. 43 Independents. Revenues, 2006 – 1.7mm
and
2007 – 1.9MM. Principal will stay until
approval. NO DOWN TIME. $1.4MM |
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#118
(100K Net Cap) Incorporated in 1978.
Approved to sell Stocks (BDR), Underwriting/Selling
Group Participants (USG), Mutual Funds (MFR),
Variable Annuities (VLA), Tax Shelters or Limited
Partnerships, Proprietary Trading (TRA), Private
Placements (PLA), and Market Making (IDM) in over
140 Stocks, DUAL CLEARING ARRANGEMENT. REGISTERED
IN 34 STATES. There are 14 Brokers with this Firm.
99% of Business is Stocks. 05’ Revenue – 2.1MM, 06’
– 3.5MM. GREAT MEMBERSHIP AGREEMENT. Principal and
Brokers will stay with new owner. NO DOWN
TIME! $1.5 MM |
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#120
(5K Net Cap) Incorporated in 1986.
Approved to sell Stocks (BDD)(BDR), Bonds,
Municipals (MSD)(MSB), Mutual Funds (MFR), Options
(PCB), Private Placements (PLA), Insurance, Variable
Annuities (VLA), Underwriter and/or Group
Participants (USG). Registered in 47 States. Product
Mix 90% Stocks, 5% Bonds, 3% Mutual Funds (MFR), 2%
Options. APPROXIMATELY 5000 IN CUSTOMER ACCOUNTS. $
50MM IN ASSETS UNDER MANAGEMENT. Gross revenues
2005-$586K, 2006-$5.752MM. 49 Brokers, 10 Support
Employees. PRINCIPAL WILL STAY WITH NEW OWNERS FOR
SMOOTH TRANSITION. BD has been around since 1986,
and has been able to acquire a membership agreement
that allows a very diverse product line. $
9.5MM |
|
#121
($5K Net Cap) Incorporated 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
2005-$544K, 2006-$985K. 20 Independents, 2 Support
Employees. Principal will stay with new owner. NO
DOWN TIME. YOU DON’T GET ANY CLEANER THAN THIS!
$ 1.8MM |
|
#127
(5K Net Cap) Incorporated in 2000.
Approved to sell Stocks (BDD)(BDR), Bonds,
Municipals (MSD)(MSB), Investment Advisory (IAD),
Mutual Funds (MFR), Variable Insurance and Variable
Annuities (VLA). Product mix is 5% Stocks, .5%
Bonds, 88% Mutual Funds (MFR), 1% Fixed Annuities
(VLA), 3.5% Variable, 1% Fee Based, 1% Life & LTC.
Registered in 4
States. 26MM IN ASSETS
UNDER MANAGEMENT. Gross Revenues 2005 -$381.75K,
2006-$ 415.5K YTD $130.2K. 3 Brokers GOOD CLEARING
ARRANGEMENT. Principal will stay with new owner for
SMOOTH TRANSITION! $ 425K |
|
#130
(25K Net Cap) Incorporated 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.
$6.5MM |
|
#131
(50K Net Cap) Incorporated 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. $2.2MM |
|
#132
(100K Net Cap)
Incorporated 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
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