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Broker Dealer Place
Blog
About
Contact
p: 407-696-9600
Achieve Your Goals
Seller Profile
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Name
*
First Name
Last Name
Phone
*
(###)
###
####
Email
*
Selling
If selling BD or RIA, please complete Part I & II If selling Assets, please complete Part I & III
BD
RIA
Assets
PART I
Owner Name
Owner CRD #
Firm Name
Firm CRD #
Firm Address
Address 1
Address 2
City
State/Province
Zip/Postal Code
Country
PART II
State of Formation
Alabama
Alaska
Arizona
Arkansas
California
Colorado
Connecticut
Delaware
Florida
Georgia
Hawaii
Idaho
Illinois Indiana
Iowa
Kansas
Kentucky
Louisiana
Maine
Maryland
Massachusetts
Michigan
Minnesota
Mississippi
Missouri
Montana Nebraska
Nevada
New Hampshire
New Jersey
New Mexico
New York
North Carolina
North Dakota
Ohio
Oklahoma
Oregon
Pennsylvania
Puerto Rico
Rhode Island
South Carolina
South Dakota
Tennessee
Texas
Utah
Vermont
Virgin Islands
Virginia
Washington
Washington D.C.
West Virginia
Wisconsin
Wyoming
Year Formed
Type of Entity
Sub S
C Corp
LLC
Other
Type of BD/RIA
*
Shell (Dormant)
Producing
If Producing, number of accounts?
If Producing, average monthly production?
$
Desired Price Range
Net Capital
$5k
$50k
$100k
$250k
Market Making
Yes
No
If yes, how many markets?
Specify products and services you are authorized to offer
Existing principles to stay on
Yes
No
If yes, how long?
Number of owners/shareholders
# of existing Branch Offices
# of permitted Branch Offices
# of existing Registered Reps
# of permitted Registered Reps
Blue Skied States
Introducing Firm
Yes
No
If yes, name of Clearing Firm?
Application Way
Yes
No
Self Clearing
Yes
No
Regulatory Action
Yes
No
If yes, please describe
Additional Specifications
PART III
Dollar Value of Assets Under Management
$
Number of Accounts
Location of Assets/Accounts
Number of Branches to be sold
Branch Location(s)
Other Assets
Additional Specifications
Thank you!
ALL INQUIRIES WILL BE KEPT IN THE STRICTEST OF CONFIDENCE