Tags » Broker-Dealer

I Was Wrong, and I Apologize

Thirty-some years since I first became registered to work with securities, we have been doing business with some people for decades. Some of those, I knew before that—friends, people I admire. 474 more words

Mark Leibman

Meeting with a Financial Advisor 

Matt and I have a friend, Michael, who is a Financial Advisor. I’d recently contacted him for information on a college savings plan, a 529, for our baby. 369 more words


Types of Broker-Dealers

There are many types of Broker-Dealers:

  • Clearing Broker-Dealer – This type compares and clears its client’s trades and its own trades against other broker dealers. Eg: DTTC…
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Domain Knowledge

Going Independent: Tech Series (Part 6) - Putting the Pieces Together

Throughout this series, several pieces of the technology puzzle have been examined individually, focusing on specific solutions to specific problems. Integrating solutions has been a thread throughout these posts. 1,621 more words

Going Independent Tech Series

Be careful when using “finders” to raise capital for your startup company

Many businesses, including startup companies and real estate funds, are tempted to employ individuals and companies to aid in the fundraising process. These individuals or companies are typically called “finders” and their role is to aid in the capital raising process. 418 more words

Equity Financing

Selling Broker Dealers and Books of Business Part - 3

Financial Advisor Placement Services is the Premier Placement firm in our industry!

Financial Advisor Placement Services was founded in 2009 by Shawn Smith to meet the needs of the financial advisor who is considering a move to an Independent Broker Dealer.  586 more words

Broker Dealers

Financial Advisor Placement Services Part – 1

Independent Broker Dealer Associations

NAIBD. . . National Association of Independent Broker Dealers

The purpose of the National Association of Independent Broker Dealers is to positively impact rules regulations, and legislation by facilitating a consistent, productive relationship between industry professionals and regulatory organizations and by providing education and member benefits for Broker Dealers. 418 more words

Broker Dealers