What is the difference between a broker-dealer and an investment adviser?

Answer Confusion among individual investors has long existed over the distinction between broker-dealer and investment-adviser functions. Regulatory authorities attempted to address these two distinctions... Read More »

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What is the difference between a broker and a dealer?

Broker and dealers are people involved in the buying and selling of securities. While similar, the jobs involve different sets of activities, with brokers primarily executing trades on behalf of ot... Read More »

What Is a Broker Dealer Firm?

A broker dealer firm functions both as a dealer and a broker. The company acts as a broker when it executes trade orders on behalf of a customer; it acts like a dealer when it executes trades for i... Read More »

What is a clearing broker dealer?

A clearing broker dealer is a financial professional responsible for acting as a broker (handling transactions and investment accounts between investors and clearing houses) and a dealer (handling... Read More »

What is the definition of a broker dealer?

A broker dealer is a person or firm that buys and sells securities. Securities are negotiable or non-negotiable instruments representing financial value. They are bought and sold in financial marke... Read More »