Broker Dealer Firm Database

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BROKER DEAL FIRMS DATABASE

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BrokerDealerFirms.com provides the leading RIA Database, Rep data, and Investment Advisor Data to leading asset managers, financial service, and recruiting firms. A … ...

DEALERS WE REGULATE | IIROC

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All firms and their registered representatives that are in the business of advising on or trading in securities in Canada must be members of IIROC and follow IIROC rules for … ...
Category: Trading

BROKER-DEALER FIRM & REP DATA - DISCOVERY DATA

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BD Firm Data Firm types by channel including wirehouse, independent, traditional, and insurance broker-dealer Retail vs institutional Size of firm including number of reps and offices Dually-registered firms Clearing … ...
Category: Insurance

BROKER-DEALER DATA CENTER - INVESTMENTNEWS

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Broker-dealer Data Center Explore the B-D Data Center to find exclusive information and intelligence about the independent broker-dealer industry. Find out which firms offer the … ...

SERVICES FOR BROKER-DEALERS - RBC CLEARING & CUSTODY

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Broker-dealers. We specialize in providing responsive clearing and execution services to successful financial services businesses like yours. Through our legacy of more than 40 … ...

BROKER DEALER | FIND INVESTORS | BROKER DEALER DATABASE

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Search the Investor Database Our Investor Database consists of over 15,000 accredited investors, Qualified Institutional Buyers (QIBs), private equity and venture capital & more. Learn More Create a Company Profile ...
Category: Credit

BROKERDEALER.COM FULL LIST OF REGISTERED BROKERS AND DEAL …

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At brokerdealer.com, you can find daily updating database list of Canadian investors or broker dealers. Whether your company is pursuing to raise capital via debt offerings or … ...

BROKER DEALER DATABASE

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Our broker dealer database is a solid resource for companies seeking broker dealer representation for either public offering or private offerings worldwide, including for: Initial … ...

BROKER DEALER DATABASE - FIND YOUR TARGET RIA’S

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AdvizorPro's broker-dealer database empowers you to quickly identify and connect with brokers and investment firms who match your ideal target profile, enabling you to expedite your outreach efforts and maximize the … ...

LEADING RIA DATABASE | SCALE YOUR SALES & MARKETING

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Our producer, RIA, broker-dealer database, and family office database provide robust lead profiling data, allowing your team to quickly and succinctly target financial advisors, … ...

MEMBERS | IIROC

FREE From iiroc.ca
IIROC oversees the registration of firms and individuals who provide advice and conduct securities trading in Canada. These firms must register as Dealer Members. In addition, … ...
Category: Trading

SIPC - LIST OF MEMBERS

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We work to restore investors’ cash and securities when their brokerage firm fails. SIPC has recovered billions of dollars for investors. Mission. ... Information about the SIPC broker … ...

REGISTRATION - CANADIAN SECURITIES ADMINISTRATORS

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Registration To prevent fraud, use the National Registration Search to check if your dealer or adviser is registered. In Canada, anyone in the business of trading securities or … ...
Category: Trading

BROKER DEALERS DATABASE | AUDIT ANALYTICS

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The Audit Analytics Broker Dealer database provides access to all audited annual reports submitted to the SEC since 2001. Know who audits broker dealers. Benchmark broker … ...

ABOUT BROKERCHECK | FINRA.ORG

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The information about brokerage firms and associated registered investment professionals that you find in BrokerCheck comes from the Central Registration Depository (CRD®), … ...

BROKERCHECK - FIND A BROKER, INVESTMENT OR FINANCIAL ADVISOR

FREE From brokercheck.finra.org
BrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors. ...

WHAT IS A BROKER-DEALER (B-D), AND HOW DOES IT WORK?

FREE From investopedia.com
May 29, 2021 Broker-Dealer: A broker-dealer is a person or firm in the business of buying and selling securities, operating as both a broker and a dealer, depending on the … ...

BROKERCHECK SEARCH HELP | FINRA.ORG

FREE From finra.org
The name of the firm or individual you are searching for is misspelled. Refine your search by entering only part of the name of the individual or firm. The CRD number, SEC … ...

HOW TO CHECK A BROKER DEALER WITH FINRA: 9 STEPS (WITH PICTURES)

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Oct 11, 2022 Central Registration Depository (CRD) number (if you know). Firm name. 3. Find brokers by using your zip code instead. If you don’t remember the broker’s name, … ...

WHAT IS A BROKER-DEALER? - BENZINGA

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Jun 21, 2023 A broker-dealer is essentially a brokerage firm (or "stockbroker") operating within the regulatory framework of the financial industry. The reason is that most … ...

FINRA SEARCH | FINRA.ORG

FREE From finra.org
Kerry Graham Comment On Regulatory Notice 22-08. Dear Regulators, I am writing to request that you not impose restrictions on the use of leveraged or inverse funds. As a … ...

LOOKING UP AN INVESTMENT ADVISOR OR FIRM | IIROC

FREE From iiroc.ca
Make sure an investment advisor is registered with IIROC by searching the AdvisorReport. The report lets you research the qualifications and the background of advisors registered … ...

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