Directory of stock brokerage firms and brokerage houses. Research investment brokerage dealers and brokerage companies that assist in buying and selling stocks. Identify a stock broker dealer that suits your business needs.
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Using stock brokerage firms for wealth accumulationBy Stephanie Bush, Freelance Writer and Indexer There are many choices for you when it comes to wealth accumulation. Whether your monetary goal is to save for retirement, college or a new house, you can utilize stock brokerage firms to help save toward these goals.
So how do you know whether to use full-service brokerage firms, investment advisers, discount brokers, or online brokers? This article will help you:
1. Distinguish between a broker dealer and an investment adviser in order to determine which is right for you
2. Learn about some of the leading online and discount brokerage dealers
3. Learn what some of the leading full-service brokerage houses have to offer
Determine whether your needs would best be served by a brokerage house or an investment adviser
When a broker dealer makes recommendations for a client, he generally charges a transaction fee for the security that is bought or sold and is concerned that the investment is suitable for the client. When an investment adviser provides advice, he generally doesn't charge a fee on a transaction basis, but often as a percentage of assets, and the investment adviser has a fiduciary responsibility to the client. What does that mean and which one is right for you?
Try: Both Overregd.com and the Nebraska State Department of Banking and Finance do a good job of explaining the difference between brokerage dealers and investment advisers and how they are compensated. If you decide that a broker dealer is the best option for you, Kiplinger can help determine whether a full service or an online or discount investment brokerage firm is right for you.
Learn the advantages of online and discount brokerage houses
If you are a self-service kind of person, enjoy researching companies and don't want to pay high transaction fees, an online or discount investment brokerage may be your answer.
Try: Kiplinger discusses how online or discount stock brokerage firms can work for you, and they have an online tool that walks you through questions to help you choose from the top brokerage firms. Some well-known online and discount stock brokerage firms include Schwab, Fidelity Investments and E-trade.
Learn the advantages of full-service brokerage houses
If you know you need help with your investment decisions, the full-service brokerage service company may be right you. Also, if you still have not decided whether a broker dealer or investment adviser is right for you, the good news is that many full-service brokerage companies also offer investment adviser services.
Try: Kiplinger offers a non-biased article on what full-service brokerage companies can offer. It is a good idea to check the FINRA website to see if a potential independent broker has any regulatory history or issue before investing. Some well know investment brokerage houses include UBS Financial, Morgan Stanley and Merrill Lynch.
- If you are concerned about tax consequences of trading with a broker dealer, you should make sure the investment brokerage firm you choose tracks cost basis for your trades.
No Inactivity Fees. No Hidden Fees. Make the Switch to Schwab Today.
You Deserve More than Just Another Broker. We Take the Time to Listen.
Barron's Best Rated Online Broker For Research & Portfolio Analysis!
A seamless transition process Click to download our brochure
Only $8.95 for Stock Trades* Stocks, Options & Futures 1 Acct.
Retain clearing arrangements with Raymond James & Associates and Bear Stearns (through Online Trading) in the U.S., and manage offshore clients' accounts through various US, European and offshore brokerages.
American Municipal Securities, Inc. - St. Petersburg, FL
An investment firm offering personalized service to individual investors for municipal and corporate bonds, government securities, mutual funds, annuities, as well as individual stocks.
Aton Capital Group is the first Russian broker to offer its clients ADR trading services on foreign markets. Aton's most distinguishing characteristic is ownership by management, which has chosen not to leverage financial strength for political gain.
Strategy of using mutual funds and variable annuities as the vehicles to optimize the risk/reward relationship for clients. The company is based in Tampa, Florida.
Florida based investment-banking firm registered in 50 states serving both fixed income and equity investors as well as municipal issuers. Stock transactions are made on a discount commission basis.
http://www.calton-associates.com/
Located in Grand Rapids, Michigan. Products and services include: mutual funds, stocks, corporate bonds, tax-free municipal bonds, government & agency bonds, tax deferred fixed annuities, tax deferred variable annuities, and unit investment trusts.
Share dealing on UK and international Stock Exchanges. Stockbrokers: advisory and discretionary portfolio management; execution-only; ISA's; and financial services.
http://www.charles-stanley.co.uk/
Chicago Investment Group, Inc.
Brokerage, investment banking, and retail and merchant banking firm offering a complete range of financial products and services. Products includes retirement accounts, mutual funds, corporate and government bonds, and access to all primary individual exc
http://members.aol.com/chicinv/index.htm
Broker/dealer of stocks, bonds, mutual funds, IPO's, CD's, treasuries, annuities. The company is based in Austin, Texas.
National network of independent financial advisors located in Massachusetts. Licensed to sell securities through Commonwealth with the National Association of Securities Dealers and the requisite federal and local regulatory agencies.
Securities company that offers services to individual investors, corporations and financial institutions.
Full service investment firm headquartered in Syosset, New York.
Provides full service financial and securities services to individual, corporate, and institutional clients. Services: investment consulting and money management, securities brokerage, market making, municipal and corporate finance. The company is located
Worldwide headquarters are located in Beverly Hills, California. DBS is a registered broker-dealer in all 50 states and member of all major national clearing organizations.
Provider of investment banking, securities brokerage, online investing, mortgage brokerage, retirement and estate planning and portfolio management services. Products and services are sold to multiple industries. This company was capitalized by corporate
Full-service broker with local offices in the US, Canada and the UK. Major financial-services firm that serves individual investors exclusively.
http://www.edwardjones.com/cgi/getHTML.cgi
Specialized brokerage services include comprehensive cash management accounts combining securities brokerage, checking, money market sweep and margin borrowing.
Headquartered in Washington, DC. the company is a dynamic force in investment banking, serving clients throughout the mid-Atlantic region. Member of the NYSE and SIPC.
A traditional brokerage firm composed of a group of carefully chosen professionals specializing in stocks and bonds.
Fully disclosed broker/dealer who can provide access to a wide arrange of products including: stocks, bonds, mutual funds, options, certificates of deposit and unit investment trusts.
http://www.firstheartland.com/
Registered broker-dealer. Member New York Stock Exchange and SIPC, and a separate, non-bank affiliate of First Union Corporation. Site features include market commentary, research and investment ideas.
Full service, national independent brokerage firm with corporate headquarters in Sherman Oaks, California.
Member of Lehman Brothers Global Clearing Network, provides a range of services and products, including listed and unlisted equities, government, corporate and municipal bonds.
http://www.financing-solutions.com/
Nationwide, full service, securities Broker-Dealer with a network of affiliated, independently-owned offices.
Nationally recognized securities firm comprised of registered and financial professionals throughout the US.
http://www.investorscapital.com
Broker-dealer with staff on the floors of the NYSE and AMEX; member of the Chicago Stock Exchange, SIA, NASD, and SIPC. Site includes a map of the firm's branches around the US.
Planning tools for life insurance, savings and investment, retirement, college tuition needs and extensive financial services such as mutual funds, annuities, long term care, term insurance.
Lincoln Investment Planning, Inc.
Corporate office is located in Wyncote, Pennsylvania. Through Lincoln, one can trade stocks, corporate bonds, government bonds and municipal bonds sold on major exchanges or in the over-the-counter market.
http://www.lincolninvestment.com/
Independent brokerage firm without proprietary investment products and has a national network of independent representatives.
Headquartered in Mount Freedom, New Jersey and offers stock selection services, including retail brokerage, portfolio management and stock trading.
http://www.magnetinvesting.com/
Headquartered in New York and specializes in distressed private obligations and other sophisticated investments.
Global financial services firm that offers securities, asset management, credit services, investment banking (including underwriting public offerings of securities and mergers and acquisitions advice) and institutional sales and trading.
Offering general securities services through a network of independent representatives to institutional and individual investors. Investments available through Mutual include stocks, fixed income, options, mutual funds, fee-based asset management, annuitie
http://www.mutualsecurities.com/
MSC is based in West Palm Beach, Florida and registered in all 50 states. MSC is a financial planning broker/dealer and registered investment advisor serving a network of independent financial advisors.
National Securities Corporation
The firm's business revolves around a core of individual client services including: buying and selling securities, investment banking, asset management, institutional sales and research.
http://www.nationalsecurities.com/
Irish financial services group providing stockbroking, corporate finance and money-broking. This site allows NCB's institutional clients access to equity and bond research as well as live prices.
Headquartered in Chuo-ku, Tokyo, Japan Tokyo and listed on the following exchanges: Tokyo, Osaka, Nagoya, Frankfurt, Singapore, Dusseldolf, Luxemborg and Paris.
Integrated financial services group, providing a broad range of services worldwide. Its customers include individuals, corporations, financial institutions, governments and government agencies.
Member of the New York Stock Exchange. Independently-owned stockbrokerage and investment banking firm headquartered in Pennsylvania. Other services include research, investment education, news & events.
Provide affordable fee-based investment advice and asset management using no-load mutual funds.
Provider of securities clearing services specializing in trade execution services, clearing and custody services, data processing services, and account maintenance services. The company also provides online trading and account access services. Products an
Stock quotes, price graphs, data on public companies, analysts reports.
Asset management, corporate finance, Belgian bond and equity sales, Eurobonds, foreign equity, & derivatives.
Full service investment dealer headquartered in Calgary, Alberta. The firm specializes in investments in the Canadian energy industry, and offers corporate finance and financial advisory services.
Phoenix Portfolio Management Services, Inc.
Independent broker-dealer advisory firm, affiliated with NASD and the SEC. Clients can attend seminars and receive a newsletter.
http://www.phoenix-portfolio.com/
Independent stockbrokers since 1893 based in the UK. Products include: ISAs, PEPs, SIPPs, share dealing, investment services, professional services, individual savings accounts, personal equity plans, self-invested pension plans.
Brokerage firm located in Chicago, Illinois providing serious off-floor traders with professional execution. Website includes securities trading, futures trading, economic commentary, weekly Dow Jones/S&P commentary and educational information.
Raymond James Financial Services
Offers its clients a wide selection of investments and services from offices in the US. Many products are available through the firm's subsidiaries and joint ventures.
http://www.raymondjames.com/rjfs/
Provides individual investors, corporations and municipalities with investment, financial planning, investment banking, asset management, banking and trust services.
Robert W. Baird & Co. Incorporated
Founded in Milwaukee. Serving the Midwest: individuals, corporations, municipalities and institutional investors.
Provider of financial services in trading and distribution of tax exempt bank equity and debt securities, mutual funds and portfolio management. The company also provides online stock and mutual fund trading services. Subsidiary/holding company with a uni
Offers corporate and investment banking products and services in Canada, and selected products and services in key geographic areas such as the U.S., Europe and Asia.
SG Cowen Securities Corporation
Provider of investment banking, investment advice and securities services focusing on technology, health care, utilities, entertainment, and telecommunications. The company also provides stock research information online. Subsidiary/holding company with a
After hours trading, fixed income offerings, analyst reports, brokerage express, research, newsletter, & seminars.
http://www.siebertnet.com/html/siebert_brokerageexpress.html
Provides the services of a traditional brokerage firm, and Sloan Online Self-Directed Pension Plans, Sloan Online Institutional Trading Services, IPO's, private placements and unique fixed income securities.
http://www.sloansecurities.com/
Specialist & training, execution & clearing, electronic trading.
Summit Brokerage Services, Inc.
Member NASD/SIPC. A full service stock brokerage firm servicing individual, corporate and institutional clients. Areas of expertise include retirement planning, asset management, portfolio review and evaluation of stocks, bonds and mutual funds, and estab
http://www.summitbrokerage.com/
Focuses its investment practices on value-based investing.
Provider of life insurance policies, securities brokerage services, and financial advisory services, including retirement planning personal finance planning and investment consulting services. The company also provides web-based financial planning applica
Trust Company of America/GEMISYS
Trust, transfer agent, limited partnership trading and brokerage services for the investor, investment advisor and direct investment company or stock/bond issuer.
U.S. Securitieis & Futures Corporation
Full service broker-dealer and FCM specializing in the trading of futures and options based in New York. USSF's experience in U.S. and global markets also encompasses equities, bonds and investment banking. Structured to serve institutions, professional t
Brokerage accounts are offered through USACapital, Inc. a registered broker-dealer and member of NASD, Municipal Securities Rulemaking Board and SIPC. Members receive investment tips, news, research, S&P data, glossary, free IRAs and charts.
Headquartered in San Diego, California, Vanguard Capital is registered with NASD, SIPC, SEC, the National Futures Association and is a Registered Investment Advisor. The firm is licensed to sell securities in all 50 states, the District of Columbia, and
http://www.vanguardcapital.com/
Warburg Pincus: Global Private Equity
Provider of investment banking, investment advice and mutual fund brokerage services for institutions and individuals. The company also provides online financial information aggregation services. Products and services are sold to multiple industries.
Provides services and investment vehicles: process stock and bond trades quickly and efficiently; investment banking capabilities include public offerings, mergers and acquisitions, valuations, private placements and leveraged buyouts; structuring and exe
Full service broker dealer, financial planning and securities brokerage firm.
http://www.wsecurities.com/index.htm
Independent broker/dealer registered with the NASD. Licensed as a registered investment advisor with the State of Texas. WFG provides financial advice and services to individuals, corporations and municipalities throughout the Southwest with offices in Ok
Australian independent full service investment house, providing a complete range of services. Services include financial planning, superannuation and tax planning, asset management, sharebroking advice, money market investments and property trusts.
Tips & Advice to help you make your decision on Brokerage Dealers
It goes without saying that you have many different choices when it comes to what to do with your money, or "accumulation." Some people plan for retirement, college or a new home. Whatever you have planned, you can use brokerage dealers and firms to help you move toward your goals.
There are several options. Decide if you will use full-service firms, investment advisers, discount brokers or online brokers. First, you will distinguish the difference between a dealer and an investment adviser in order to figure out what your plan should be. A broker or dealer is a term used in financial service regulations. It pertains to ta company or other organization that trades ... more
It goes without saying that you have many different choices when it comes to what to do with your money, or "accumulation." Some people plan for retirement, college or a new home. Whatever you have planned, you can use brokerage dealers and firms to help you move toward your goals.
There are several options. Decide if you will use full-service firms, investment advisers, discount brokers or online brokers. First, you will distinguish the difference between a dealer and an investment adviser in order to figure out what your plan should be. A broker or dealer is a term used in financial service regulations. It pertains to ta company or other organization that trades securities for its own gain, or on behalf of its customers. These agents are typically independent firms, but many of them are subsidiaries of commercial banks, investment banks or investment companies. Institutions act as a "broker" when they execute trades on behalf of a customer. If executing trades for its own account, the institution is the "dealer".
Keep in mind that a broker is only an agent who makes moves on behalf of clients. When choosing a brokerage dealers for your business or personal finances, you have to be sure that you're best interests are at the forefront. Look to your left for some resources that can help.