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 2001 5k, Florida-based Broker/Dealer approved for mutual funds, stocks, corporate bonds, variable life and annuities, options, and underwriting activities. In business since 2004. Currently registered in 13 states. Principal will stay on throughout, and after, the transaction. $330,000.
A 2003 Clean 5k, northeast-based Broker/Dealer approved for stocks, corporate bonds, mutual funds, U.S. Government securities, underwritings, municipal securities, variable products, time deposits, options, and private placements. In business since 1999. Currently registered in over forty states. Principal and registered representatives will stay on throughout, and after, the transaction. Separate RIA included. $2,000,000
A 2004 100k, 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 twenty-two states. Principal and registered representatives will stay on throughout, and after, the transaction. $835,000.
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. DEPOSIT
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.
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.
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.
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