Active BD

A Producing broker/dealer is an active FINRA member firm that currently generates revenue.  Management typically will remain on subsequent to the completion of the sale transaction.  Buyers of Producing broker/dealers may have the opportunity to continue selling securities during the FINRA change of ownership (1017) process.

A 2005 Clean 5k, Florida-based Broker/Dealer approved for stocks, corporate bonds, investment advisory services, private placements and underwriting activities.  In business since 2006.  Currently registered in 4 states.  Principal will assist with transition, and will stay on throughout, and after, the transaction.  $125,000. SOLD

A2007 Own a Financial Empire.  Southeast-based financial services conglomerate consisting of five separate companies.  A clean, 50k Broker/Dealer, a state-registered RIA, a Commodities Firm, an Insurance Agency, and a Precious Metal Company.  Broker/Dealer is approved for stocks, corporate bonds, mutual funds, municpal bonds, variable products, options, underwriting, and private placements.  Registered in 22 states.  Principal will stay on throughout, and after the transaction.  $1,100,000.  SOLD

A 2008 100k, western-based Broker/Dealer approved for market making, corporate equity securities, over-the-counter, underwriting, mutual funds, proprietary trading, and private placements.  In business since 1978.  Currently registered in 36 states.  Principal and registered representatives will stay on throughout, and after the transaction.  $550,000.

A 2009 Clean 5k, southwestern-based Broker/Dealer approved for private placements, tax shelter or limited partnership sales in primary distributions and marketing of real estate investment trusts.  In business since 2000.  Currently registered in 7 states.  Principal will stay on throughout, and after the transaction.  $175,000. SOLD

A2010 Fully-disclosed 5k, northeast-based Broker/Dealer approved for stock, corporate bonds, mutual funds, US government securities, municipal securities, variable products, options, and tax shelters/limited partnerships.  Currently registered in 10 states.  Principal will assist with transition, and will stay on throughout, and after, the transaction.  $130,000.  SOLD

A2011 START YOUR FINANCIAL EMPIRE.  Mid-West based Broker/Dealer and State Registered Investment Advisor, under common ownership, and in business since 1987.  Broker/Dealer has a $50k net capital requirement, and is approved for stocks, corporate bonds, mutual funds, variable products, and tax shelters/limited partnerships.  B/D currently has over $220,000 in average monthly production, and RIA currently generates over $70,000 per month in advisory income. Approximately $85 million in RIA assets under management, and over $250 million in B/D assets under management.  Currently has 37 Registered Representatives, 4 branch offices, and is registered in 32 states.  B/D and RIA must be purchased together.  Principal and registered representatives will stay on throughout, and after, the transaction.  $2,000,000.  SOLD

A2012 5k minimum net capital, western-based Broker/Dealer approved for stocks, corporate debt securities, underwriting, mutual funds, government securities dealer, government securities broker, municipal securities dealer, municipal securities broker, variable products, options, investment advisory services, tax shelter primary distributions and secondary market, and private placements. In business since 1996.  Currently registered in 33 states.  Principal and registered representatives will stay on throughout, and after, the transaction.  $1,430,000.  

A2013 Southwest based 100k municipal bond house.  Also approved to offer mutual funds, government securities, variable products, time deposits, and interests in mortgages.  Approved for proprietary trading.  In business since 1992.  Blue skied in 40 states.  Principals will stay on throughout, and after transaction.  $2,850,000. 

A2014 Clean 5k, Pacific Northwest-based Broker/Dealer approved for listed stocks, OTC equities, mutual funds, and variable products.  In business since 1988.  Currently registered in one state.  Principal will assist with transition, and will stay on throughout, and after, the transaction.  $100,000.

A2015  Clean 5k, Western based Broker/Dealer approved for Best Efforts Underwritings, Mutual Funds, Municipal bonds, Variable Products and Private Placements.  In business since 2011.  Currently registered in seven states.  Principal will assist with transition, and will stay on throughout, and after, the transaction.  $100,000.

A2016  100k, Northeastern based Broker/Dealer approved for market making, ​corporate ​equity securities, over-the-counter equity securities, ​underwriting, mutual funds, proprietary trading, corporate debt, municipal ​bond broker, municipal bond dealer, variable products, government ​securities, options, tax shelters, limited partnerships, and private ​placements.  In business since 1994.  Great metropolitan location. ​Currently registered in 25 states. Principal and registered ​representatives will stay on throughout, and after the transaction.  ​$2,400,000.

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