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  2. Ohio Department of Commerce - Wikipedia

    en.wikipedia.org/wiki/Ohio_Department_of_Commerce

    The Ohio Department of Commerce is the administrative department of the Ohio state government [1] responsible for regulating banks and savings institutions, credit unions, mortgage brokers/lenders and consumer finance businesses; securities professionals and products; real estate professionals and cable television; and the building industry; and also collects and holds unclaimed funds. [2]

  3. Commonwealth Financial Network - Wikipedia

    en.wikipedia.org/wiki/Commonwealth_Financial_Network

    Commonwealth Financial Network is a privately held Registered Investment Adviser–independent broker/dealer based in Waltham, Massachusetts, and 110 Plaza in San Diego, California, and a new office to be opened in 2024 in Cincinnati, Ohio. [1]

  4. Broker-dealer - Wikipedia

    en.wikipedia.org/wiki/Broker-dealer

    Broker-dealers are at the heart of the securities and derivatives trading process. [1] Although many broker-dealers are "independent" firms solely involved in broker-dealer services, many others are business units or subsidiaries of commercial banks, investment banks or investment companies.

  5. Securities market participants (United States) - Wikipedia

    en.wikipedia.org/wiki/Securities_market...

    Electronic ticker monitor display, showing the bid and offer status of securities. Securities market participants in the United States include corporations and governments issuing securities, persons and corporations buying and selling a security, the broker-dealers and exchanges which facilitate such trading, banks which safe keep assets, and regulators who monitor the markets' activities.

  6. List of mergers of securities firms - Wikipedia

    en.wikipedia.org/wiki/List_of_mergers_of...

    Mellon Securities Corporation: First Boston Corporation: 1947 Lonsdale Investment Trust: Robert Benson & Co. Robert Benson Lonsdale: 1956 Eastman Dillon & Co. Union Securities: Eastman Dillon Union Securities & Co. 1957 S. G. Warburg & Co. Seligman Bros. S. G. Warburg & Co. 1961 Robert Benson Lonsdale: Kleinwort, Sons & Co. Kleinwort Benson ...

  7. First Command Financial Services - Wikipedia

    en.wikipedia.org/wiki/First_Command_Financial...

    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]

  8. McDonald & Co. - Wikipedia

    en.wikipedia.org/wiki/McDonald_&_Co.

    It also had nearly 700 retail brokers, 160 investment bankers, and about 260 specialists in capital markets. At the same time as the KeyCorp merger, McD was making a couple acquisitions of its own. In September 1998, McD completed the purchase of Rochester, New York–based brokerage firm Essex Capital Markets Inc. [ 4 ] Essex had 55 brokers ...

  9. Category:Brokerage firms - Wikipedia

    en.wikipedia.org/wiki/Category:Brokerage_firms

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