Individual Firm
MILL VALLEY, CA 94941
SRO Registrations
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 06/27/2017 - 01/22/2020 | NEW YORK, NY | |
B | 12/14/2016 - 06/16/2017 | NEW YORK, NY | |
B | 09/22/2010 - 12/22/2014 | NEW YORK, NY | |
B | 07/14/2009 - 12/15/2010 | NEW YORK CITY, NY |
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A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both.
Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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