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In financial services, a broker-dealer is a natural person, company or other organization that engages in the business of trading securities for its own account or on behalf of its customers. Broker-dealers are at the heart of the securities and derivatives trading process.
First Command Financial Planning, Inc. is a broker-dealer registered with the U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), all 50 states, and the District of Columbia. It is a member of the Securities Investor Protection Corporation (SIPC). [1]
World Group Securities (WGS) is an American broker-dealer that provides exclusive services to World Financial Group a multi-level marketing financial and insurance services company. WGS is a subsidiary of the Dutch-owned AEGON insurance Group. WGS has been involved in a number of lawsuits with state regulators alleging the selling of unsuitable ...
Prudential Securities: 1981 American Express: Shearson Loeb Rhoades: Shearson/American Express: 1984 Shearson/American Express: Investors Diversified Services: Shearson/American Express: 1984 Shearson/American Express: Lehman Brothers, Kuhn, Loeb: Shearson Lehman/American Express: 1987 Primerica: Smith Barney: Primerica: 1987 Union Bank of ...
The NASD was founded on September 3, 1936 as Investment Bankers Conference, Inc. [9] and, on August 7, 1939, was registered under the name National Association of Securities Dealers, Inc. [10] as a national securities association with the SEC under authority granted by the 1938 Maloney Act amendments to the Securities Exchange Act of 1934, [11] which allowed it to supervise the conduct of its ...
Before DTC and NSCC were formed, brokers physically exchanged certificates, employing hundreds of messengers to carry certificates and cheques. The mechanisms brokers used to transfer securities and keep records relied heavily on pen and paper. The exchange of physical stock certificates was difficult, inefficient, and increasingly expensive.
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The North American Securities Administrators Association (NASAA), founded in Kansas in 1919, is the oldest international investor protection organization. NASAA is an association of state securities administrators who are charged with the responsibility to protect consumers who purchase securities or investment advice.