The remaining 18.9 percent of profits stem largely from mutual fund sales through PFS Investments, a broker dealer arm.
22.
"This case, simply put, involves fraud by a broker dealer, " he said in a statement.
23.
Among remaining differences between the House and Senate versions is the question of how much power states should have to regulate broker dealers.
24.
CSG is a franchise that licenses its name to brokers who want to set up their own business, without forming a broker dealer.
25.
The Capital Markets segment primarily operates as a registered securities broker dealer, a residential mortgage loan manager and a commercial mortgage loan originator.
26.
Only " Independent RIAs " ( those not affiliated with ( or restricted by ) a broker dealer ) can be considered true fiduciaries.
27.
National Planning Holdings manages one of the largest broker dealer networks in the U . S . with over 3, 500 registered representatives.
28.
He was also actively involved in the operations of the Securities and Exchange Commission ( SEC ) regulated broker dealers owned by both banks.
29.
Due to the economic decline, John Utendahl's broker dealer, Utendahl Capital Partners, went out of business on January 31, 2010.
30.
Lightspeed Financial is the parent company of Lightspeed Trading LLC which is a mid-sized broker dealer and well known in the active trading community.
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