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BD Shells

A shell broker/dealer is an inactive company that has little or no production.  Management/owners typically will not stay on after the closing occurs.  This will result in a 100 percent change of management/ownership causing no business to go forth until the change of ownership (1017) is approved by FINRA.  Purchasing a Shell can be a time-saving approach to owning your own broker/dealer due to the fact that the firm is already a FINRA member and registered with both the SEC and at least one state.

  • S1002
    5k minimum net capital, Southeastern-based Broker/Dealer. Approved for "best efforts" underwritings, mutual funds, 529 plan municipal securities broker, variable annuities and variable life insurance, solicitor of time deposits in a financial institution, real estate syndicator, broker or dealer selling oil and gas interests, broker or dealer selling tax shelters or limited partnerships in primary distributions, and private placements of securities. In business since 1987. Currently registered in 15 states. Principals may assist with the transition, but will not stay on after the transaction. $65,000.
  • S1001 SOLD
    Clean 5k, Florida-based Broker/Dealer approved for mutual funds. In business since 1993. Owner may assist with transition, but will not stay on after ownership changes. $50,000.
 
 

 Active BD’s

A shell broker/dealer is an inactive company that has little or no production.  Management/owners typically will not stay on after the closing occurs.  This will result in a 100 percent change of management/ownership causing no business to go forth until the change of ownership (1017) is approved by FINRA.  Purchasing a Shell can be a time-saving approach to owning your own broker/dealer due to the fact that the firm is already a FINRA member and registered with both the SEC and at least one state.

  • A2016
    100k, Northeastern based Broker/Dealer approved for market making, corporate equity securities, over-the-counter equity securities, underwriting, mutual funds, proprietary trading, corporate debt, municipal bond broker, municipal bond dealer, variable products, government securities, options, tax shelters, limited partnerships, and private placements. In business since 1994. Great metropolitan location. Currently registered in 25 states. Principal and registered representatives will stay on throughout, and after the transaction. $5,200,000.
  • A2005 SOLD
    Clean 5k, Florida-based Broker/Dealer approved for stocks, corporate bonds, investment advisory services, private placements and underwriting activities. In business since 2006. Currently registered in 4 states. Principal will assist with transition, and will stay on throughout, and after, the transaction. $125,000.
  • A2007 SOLD
    Own a Financial Empire. Southeast-based financial services conglomerate consisting of five separate companies. A clean, 50k Broker/Dealer, a state-registered RIA, a Commodities Firm, an Insurance Agency, and a Precious Metal Company. Broker/Dealer is approved for stocks, corporate bonds, mutual funds, municpal bonds, variable products, options, underwriting, and private placements. Registered in 22 states. Principal will stay on throughout, and after the transaction. $1,100,000.
  • A2008 SOLD
    100k, western-based Broker/Dealer approved for market making, corporate equity securities, over-the-counter, underwriting, mutual funds, proprietary trading, and private placements. In business since 1978. Currently registered in 36 states. Principal and registered representatives will stay on throughout, and after the transaction. $550,000.
  • A2009 SOLD
    Clean 5k, southwestern-based Broker/Dealer approved for private placements, tax shelter or limited partnership sales in primary distributions and marketing of real estate investment trusts. In business since 2000. Currently registered in 7 states. Principal will stay on throughout, and after the transaction. $175,000.
  • A2010 SOLD
    Fully-disclosed 5k, northeast-based Broker/Dealer approved for stock, corporate bonds, mutual funds, US government securities, municipal securities, variable products, options, and tax shelters/limited partnerships. Currently registered in 10 states. Principal will assist with transition, and will stay on throughout, and after, the transaction. $130,000.
  • A2011 SOLD
    START YOUR FINANCIAL EMPIRE. Mid-West based Broker/Dealer and State Registered Investment Advisor, under common ownership, and in business since 1987. Broker/Dealer has a $50k net capital requirement, and is approved for stocks, corporate bonds, mutual funds, variable products, and tax shelters/limited partnerships. B/D currently has over $220,000 in average monthly production, and RIA currently generates over $70,000 per month in advisory income. Approximately $85 million in RIA assets under management, and over $250 million in B/D assets under management. Currently has 37 Registered Representatives, 4 branch offices, and is registered in 32 states. B/D and RIA must be purchased together. Principal and registered representatives will stay on throughout, and after, the transaction. $2,000,000.
  • A2012 SOLD
    5k minimum net capital, western-based Broker/Dealer approved for stocks, corporate debt securities, underwriting, mutual funds, government securities dealer, government securities broker, municipal securities dealer, municipal securities broker, variable products, options, investment advisory services, tax shelter primary distributions and secondary market, and private placements. In business since 1996. Currently registered in 33 states. Principal and registered representatives will stay on throughout, and after, the transaction. $1,430,000.
  • A2013 SOLD
    Southwest based 100k municipal bond house. Also approved to offer mutual funds, government securities, variable products, time deposits, and interests in mortgages. Approved for proprietary trading. In business since 1992. Blue skied in 40 states. Principals will stay on throughout, and after transaction. $2,850,000.
  • A2014 SOLD
    Clean 5k, Pacific Northwest-based Broker/Dealer approved for listed stocks, OTC equities, mutual funds, and variable products. In business since 1988. Currently registered in one state. Principal will assist with transition, and will stay on throughout, and after, the transaction. $100,000.
  • A2015 SOLD
    Clean 5k, Western based Broker/Dealer approved for Best Efforts Underwritings, Mutual Funds, Municipal bonds, Variable Products and Private Placements. In business since 2011. Currently registered in seven states. Principal will assist with transition, and will stay on throughout, and after, the transaction. $100,000.
 
 

Registered Investment Advisers

Registered Investment Advisers render financial advice for a fee versus a commission, and are either regulated by the various states or the SEC depending upon the amount of money under management.  The buyer of an RIA realizes an immediate revenue stream, and often producers associated with the firm stay on after the change of ownership is complete. 

  • R1001
    Clean California-based RIA. In business since 2002. Currently inactive, but has existing relationship with marquee custodian Broker/Dealer. Owner willing to assist with transition. No liabilities. This is a turnkey opportunity. $15,000. SOLD
  • R1002
    Clean midwest-based SEC registered investment advisor with over $350 million of assets under management. In business and profitable for over three years and registered in over twenty states. Custodial arrangements are in place with four of the largest custodians. The RIA has a proprietary turnkey asset management platform (“TAMP”) that provides front, mid and back office applications for other RIA’s. Can provide an infinite number of portfolio strategies utilizing a multitude of money managers. The TAMP offers a rare and unique opportunity to offer private labeling for other RIA’s. Think of this listing as a clearing house for RIA business and you can see that the potential for future growth is tremendous. Owner primarily seeks an equity partner but will entertain all offers including a full purchase. Please contact us directly for pricing. SOLD
  • R1003
    Clean southeast-based STATE registered investment advisor with over $60 million of assets under management. In business, and profitable, for over ten years. Currently and consistently yielding over 100 basis points in revenues. If you are looking for a profitable springboard for future growth and expansion, this is the opportunity for you. Attractively priced at $200,000. SOLD
  • R1004
    Mid-West based Broker/Dealer and State Registered Investment Advisor, under common ownership, and in business since 1987. Broker/Dealer has a $50k net capital requirement, and is approved for stocks, corporate bonds, mutual funds, variable products, and tax shelters/limited partnerships. B/D currently has over $220,000 in average monthly production, and RIA currently generates over $70,000 per month in advisory income. Approximately $85 million in RIA assets under management, and over $250 million in B/D assets under management. Currently has 37 Registered Representatives, 4 branch offices, and is registered in 32 states. B/D and RIA must be purchased together. Principal and registered representatives will stay on throughout, and after, the transaction. $2,000,000 SOLD
 
 

Assets

Registered Investment Advisers render financial advice for a fee versus a commission, and are either regulated by the various states or the SEC depending upon the amount of money under management.  The buyer of an RIA realizes an immediate revenue stream, and often producers associated with the firm stay on after the change of ownership is complete. 

  • T4001
    Just over $14 Million in Brokerage Assets concentrated in southern California. Asset composition is $7.3 million Index Annuities; $2 million Mutual Funds; $2 million Guaranteed Real Estate Notes maturing soon; $800 thousand Other Liquid investments; $100 thousand annual premiums Life Insurance ($4 million face value); $2 million liquid Money Under Management. Selected assets in this portfolio are generated trail and 12b-1 fee income. This is a turnkey purchase opportunity. Attractively offered at $375,000. SOLD