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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]
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.
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 ...
The retail brokerage or private clients (individual customers) were primarily located in Ohio, Michigan, Indiana, and western New York. In 1998, its last year as a stand-alone firm, commission and fees accounted for 40% revenues, investment income was 31%, trading income was 18%, and all other income was 11%.
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]
LPL Financial Holdings Inc. (commonly referred to as LPL Financial) was founded in 1989 and is considered the largest independent broker-dealer in the United States. As of 2021 the company had more than 17,500 financial advisors, [4] over US$1 trillion in advisory and brokerage assets, [5] and generated approximately $10.3 billion in annual revenue for the 2023 fiscal year. [6]
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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.
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