Broker-Dealer

SEC staff told Kotz they only ever reviewed quarterly filings, or Forms 17h, for six of the 146 broker-dealers required to file such reports under its Broker-Dealer Risk Assessment Program.

Mary Shannon Little: Economic Reform is Overdue 2009

U.S. Equities Ameriprise Unloads Broker-Dealer Headache After reporting earnings, financial planning firm says it will sell Securities America.

Forbes.com: News MarketNewsVideo.com 2011

Unfortunately, anyone can call himself or herself a financial planner and many insurance salesmen, Broker-Dealer representatives, and some bankers love to use the term since it lulls potential customers into a false sense of security since the real goal is to generate a commission when they sell you a product.

Forbes.com: News Forbes Blogs 2011

OTCBB:SOHL, a financial services holding company with subsidiaries offering Broker-Dealer, Investment Banking, Investment Advisory and Wealth Management services, announced today that its joint venture partner, Geneva based International Private Wealth Management S.A.

unknown title 2011

He is a Licensed Insurance Agent representing Benefit Architects and is in the process of obtaining his Broker-Dealer Certification.

TradingMarkets 2010

Experience in Financial Services, specifically Broker-Dealer preferred privacy and protection, when applying to a job online:

chicagotribune.com - 2010

The Broker-Dealer Index this week indicates the likelihood of a breakdown.

Recent Commentaries | Safehaven.com 2010

Experience in Financial Services, specifically Broker-Dealer preferred privacy and protection, when applying to a job online:

chicagotribune.com - 2010

He is a Licensed Insurance Agent representing Benefit Architects and is in the process of obtaining his Broker-Dealer Certification.

The Earth Times Online Newspaper 2010

He is a Licensed Insurance Agent representing Benefit Architects and is in the process of obtaining his Broker-Dealer Certification.

The Earth Times Online Newspaper 2010