Sentences with phrase «as a brokerage firm»

Since the Department of Labor finalized its fiduciary rule (now in limbo) last year, annuity sales have fallen dramatically as brokerage firms and advisors anticipate that the products may not pass muster under a tighter regulatory standard.

It was founded as a brokerage firm in 1992, under the name Midas Fondsmæglerselskab, by Lars Seier Christensen,...

Saxo Bank holds a banking license from Denmark's Financial Supervisory Authority (FSA) and acts as a brokerage firm and a market maker, offering trading in more than 30 000 instruments, including currency pairs, binary options, contracts for difference (CFDs), stocks, futures, and bonds through its proprietary online trading platform.

If Charles Schwab doesn't give you the opportunity, that's a shortcoming of them as a brokerage firm; there are definitely ways for retail investors to invest in it, wise investment or no.

I currently use Scottrade as my brokerage firm so I took a look at this program and I think it is a great tool for those parties interested in automatically reinvesting dividends, but would also enjoy flexibility as to what securities the dividends get reinvested back into.

In contrast, a brokered CD is only available from a financial professional such as a brokerage firm or a financial advisor.

The bank may be owned by the same corporation as the brokerage firm.

At least one other firm involved with virtual currency trading has registered with the SEC as a brokerage firm.

There are some downsides to registering as a brokerage firm.

What began as a brokerage firm with just two agents, a receptionist, and the dream of a new real estate brokerage model with high - touch customer service, low agent fees and efficient technology, HomeSmart International has morphed into a true national real estate franchise powerhouse.

Not exact matches

Then, reach out to the brokerage firm as quickly as possible.

Moro explained that traditional banks and brokerage firms have been reluctant to act as custodians because of know - your - customer laws, and because any such firms that carry bitcoin must back it with dollar - based reserves at a one - to - one level — a formula that ties up capital, and is an unattractive proposition for the likes of Goldman Sachs or JPMorgan.

The issuers chose to be available on the ImpactUs website and went through a similar financial due diligence to those required by most brokerage firms, as well as a review of their intent to make a societal difference.

«The conclusion about a company's value will be based on an analysis of all kinds of information, such as the historical profit - and - loss picture, other financial records, the customer base, internal controls, key employees, competitive details, and much more,» says Catherine Bienert, CEO of Bottom Line Management, an Atlanta business - brokerage and business - appraisal firm.

Employers like Buckingham contract with a financial services organization (generally, a brokerage house, mutual fund company, or insurance firm) to administer what is known as a prototype SEP plan.

Once dubbed «the world's most interesting billionaire» by Bloomberg, Jorge Lemann had previous lives as a journalist and professional tennis champion before turning to finance in 1971 with the purchase of a small Brazilian brokerage firm.

Kathleen Gurney visited her first brokerage firm nearly three decades ago, as a young psychology professor with a burgeoning private practice and some cash to invest.

Brokerage firms are sensitive about discussing sales incentives as the U.S. Securities and Exchange Commission considers imposing a higher standard of customer care on their sales practices and the Financial Industry Regulatory Authority is warning the firms to vet potential hires more carefully.

After graduating college, Buffett worked for his father's brokerage firm as a stockbroker.

In a recent post, we reported that Zenefits, a software company and online brokerage firm that claims to have automated much of what brokers do, seems to have alarmed enough insurance agents that last month, the insurance commissioner in Utah banned Zenefits from serving as a broker in the state.

Before joining HH in 2012, he was a Regional Director for AQR Capital Management in Scottsdale, marketing the firm's alternative investment mutual funds to large advisory teams at brokerage firms in the Western U.S. Prior to AQR, he served high net worth clients as a principal with a niche financial advisory firm in Phoenix.

As a result, many mutual funds — which might be better performing but have higher expenses than other investment vehicles — would fall off of brokerage firms» platforms.

In 1996, believing that his brokerage clients deserved a wider range of investment opportunities as well as better trade execution and service, Jim founded Financial Sense ® Securities, Inc. (FSS), member FINRA / SIPC, an independent broker / dealer offering full brokerage services through our clearing firm National Financial Services LLC., a Fidelity Investments Company.

And, as an unfortunate side effect, it also made many U.S. - based brokerage firms leery of dealing with American expats.

If you would like to revoke your consent to householding and in the future receive your own Notice of Internet Availability of Proxy Materials (or your own set of proxy materials, as applicable), or if your household is currently receiving multiple copies of the same items and you would like in the future to receive only a single copy at your address, please contact Householding Department by mail at 51 Mercedes Way, Edgewood, New York 11717, or by calling 1-800-542-1061, and indicate your name, the name of each of your brokerage firms or banks where your shares are held, and your account numbers.

Provided by the Financial Industry Regulatory Authority (FINRA), BrokerCheck is a free tool to help investors research the professional backgrounds of current and former FINRA - registered brokerage firms and brokers, as well as investment adviser firms and representatives.

Greg has worked for a national accounting firm, a Fortune 500 plan sponsor, a major brokerage firm, and he served as the CEO of a major 401k TPA firm.

Qualifications, Attributes, Skills and Experience: Gordon is qualified to serve on Zillow Group's board of directors because he brings extensive experience in the residential real estate industry as a founder and manager of a real estate brokerage firm.

For example, a beginning trader shouldn't look to a deep discount online brokerage firm simply because they likely won't get the guidance that they will need as a novice.

Most recently, along with PropTiger, property brokerage firm JLL and HDFC Red, realty portal of the housing finance and banking company, were seen as other potential suitors.

Dividend Reinvestment Plan - a dividend reinvestment plan is offered by some corporations as a way to reinvest capital gains, and cash dividends without paying fees to a broker or a brokerage firm.

To clarify, an FCM is a brokerage firm (typically a large one but it doesn't have to be) that is capable of accepting money in the name of clients to hold as margin for trading activities.

I should note that Lightspeed is limited, compared with full - scale brokerage firms such as E * TRADE and TD Ameritrade, which also offer bonds, mutual funds and other investments in addition to stocks and options.

Founded in 1946, the firm is a leading provider of investment management, retirement planning, portfolio guidance, brokerage, benefits outsourcing, and many other financial products and services to more than 20 million individuals and institutions, as well as through 5,000 financial intermediary firms.

Bigger investment management firms with online brokerage arms may impose minimums as high as $ 5,000; Fidelity requires at least $ 2,500 to open a brokerage account, while TradeStation requires $ 5,000.

As a retail account you must understand that while all futures brokerage firms want business, each client account they accept poses a significant risk to the firm.

If you own HP Co. common shares as of the close of business on the record date for the distribution, Hewlett Packard Enterprise common stock that you are entitled to receive in the distribution will be issued electronically, as of the distribution date, to you in direct registration form or to your bank or brokerage firm on your behalf.

CFA and Americans for Financial Reform released a report on Wednesday, written by Hauptman and Barbara Roper, CFA's director of investor protection, which scrutinizes how brokerage firms and insurance companies market their services on their website and «contrasts the practices they use to attract customers with those they use when resisting regulation as fiduciary advisors.»

Qtrade Investor provides the best overall online investor experience in the Canadian Online Discount Brokerage landscape, repeating as the top ranked firm in 2017 with another convincing win and a score of 90 %, 11 percentage points ahead of 2nd place Questrade who moved up one position from 2016.

I use multiple brokers: Sharebuilder, Tradeking, MerrilLynch, IB and Scottrade, as I like to spread out the risk of brokerage firms and also, each have their unique pros & cons, too many to list here.

For the third consecutive year, Qtrade Investor is the leader in customer service amongst Canadian self - directed brokerage firms, as measured by the 2017 Surviscor Service Level Assessment review.

You can still benefit from programs like flexible spending accounts and retirement and college savings as someone who is self - employed, just as you would if you were an employee at a large brokerage firm or bank.

The firm is consistently ranked as one of the top Brooklyn Commercial Brokerage Firm Ranking by CoSfirm is consistently ranked as one of the top Brooklyn Commercial Brokerage Firm Ranking by CoSFirm Ranking by CoStar.

Brokerage firms don't have as many branches as most major banks, so in the days before online banking, it was difficult for them to offer services that required initial branch visits, such as direct deposit or bill payment.

Business loan brokers who prefer to work on their own might want to consider opening their own businesses and start making inroads with commercial lenders, as well as bringing over previous clients to help build their own portfolio without the lion's share going to the brokerage firm.

Business loan brokers can work for a brokerage firm, or they can strike out on their own and act as independent agents — getting hired by businesses that require specialized types of financing.

Now that online and mobile banking is widespread, some brokerage firms offer a wide range of services, including direct deposit, mobile deposit, and online and mobile bill payment, as well as check writing capabilities and debit cards linked to brokerage accounts, most of which previously were solely the domain of banks.

Accounts with banks and brokerage firms and the like are not as vulnerable to these attacks because these institutions can usually reverse unintended or malicious transactions if they are caught within a few days.

As with traditional brokerage firms, CryptoxBureau is focussed firmly on providing a robust and personal brokering service.

It's no longer actually meant to regulate the financial services industry as it pertains to the treatment of Main Street — it has been transformed into an advocacy for the banks, credit card issuers, insurance companies, mortgage originators and brokerage firms against what it sees as overzealous regulation and job - killing oversight.