Broker-Dealer
A Broker-Dealer is a financial firm or individual that buys and sells securities on behalf of clients (acting as a broker) or for its own account (acting as a dealer). Broker-dealers are essential in facilitating securities transactions, providing market liquidity, and offering investment advice and services to individual and institutional investors.
Also known as
Market Maker, Securities Broker, Securities Firm, Trading Firm
Examples
- Goldman Sachs & Co. LLC: An investment bank with broker-dealer operations facilitating securities trading and market making.
- Morgan Stanley & Co. LLC: A global financial services firm offering broker-dealer services among other financial solutions.
Ancestry path
Generated from sali-legal/LMSS at 3f9ac0c9357b (2026-03-10). JSON