Broker Dealer's and RIA's for Sale
   
Please fill out the information below and we will email you every time a new listing comes in that meets your criteria.  If no boxes are checked you will be sent all new listings whether Producing, Shell, Registered Investment Advisor or Assets.

 

Have you filled out the Confidentiality Agreement? Yes   No 

If not, click here to get it. Please fax it to the number at the top of the page (678-815-1524).

 

 

   First name:           Last Name:      

   

Email Address:          Confirm  Email Address:

 

Are you looking for a: (check all that apply)

Producing BD          Shell BD          Registered Investment Advisor          Assets

 
 

BD - Types of Business 
  Must Have  

Would

 Like

A.

Exchange member engaged in exchange commission business other than floor Activities.

EMC

 

B.

Exchange member engaged in floor activities.

EMF

 

C.

Broker or Dealer making inter-dealer markets in corporate securities over-the-counter.

IDM

 

D.

Broker or Dealer retailing corporate equity securities over-the-counter.

BDR

 

E.

Broker or Dealer selling corporate debt securities.

BDD

 

F.

Underwriter or selling group participant (corporate securities other than mutual funds).

USG

 

G.

Mutual fund underwriter or sponsor.

MFU

 

H.

Mutual fund retailer.

MFR

 

I.

1.  U.S. government securities dealer.

GSD

 

2.  U.S. government securities broker.

GSB

 

J.

Municipal securities dealer.

MSD

 

K.

Municipal securities broker.

MSB

 

L.

Broker or dealer selling variable life or insurance or annuities.

VLA

 

M.

Solicitor of time deposits in a financial institutions.

SSL

 

N.

Real estate syndicator.

RES

 

O.

Broker or dealer oil and gas interests.

OGI

 

P.

Put and call broker or dealer or option writer.

PCB

 

Q.

Broker or dealer selling securities of only one issuer or associate issuers (other than mutual funds)

BIA

 

R.

Broker or dealer selling securities of non-profit organizations (e.g., churches, hospitals).

NPB

 

S.

Investment advisory services.

IAD

 

T.

1.        Broker or dealer selling tax shelters or limited partnerships in primary distributions.

TAP

 

2.        Broker or dealer selling tax shelters or limited partnerships in the secondary market.

TAS

 

U.

Non-exchange member arranging for transactions in listed securities by exchange member.

NEX

 

  

 

V.

Trading securities for own account.

TRA

 

W.

Private Placement of securities.

PLA

 

X.

Broker or dealer selling interests in mortgages or other receivables.

MRI

 

Y.

Broker or dealer involved in a networking, kiosk, or similar arrangement with a

  1. Bank, saving banks or association or credit union

 

 

  

 

BNA

 

  1. Insurance company or agency.

INA

 

Z.

Engages in other Securities business

OTH

 

 

Mergers and Acquisitions

M&A

 

 

Please list the states you are interested in.

 

AL   MT  
AK   NE  
AZ   NV  
AR   NH  
CA   NJ  
CO   NM  
CT   NY  
DE   NC  
DC   ND  
FL   OH  
GA   OK  
HI   OR  
ID   PA  
IL   PR  
IN   RI  
IA   SC  
KS   SD  
KY   TN  
LA   TX  
ME   UT  
MH   VT  
MD   VI  
MA   VA  
MI   WA  
MN   WV  
MS   WI  
MO   WY