Sentences with phrase «serve as a broker»

From 2009 to 2016 Dan served as a broker to investment banks for large equity option block trades while also offering trade structure and fundamental trade ideas to investment managers.

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.

Fintegra Financial Solutions from Minneapolis, MN serves as the broker / dealer for Larsen Financial.

According to the Wall Street Journal on Tuesday, Founders Fund — co-founded by the high - profile investor Peter Thiel and based in San Francisco — is now backing a startup named Tagomi Systems Inc., which boasts a mission to serve as a broker - dealer to optimize bulk bitcoin trading orders for high - value clients.

Broker Members include companies that serve as brokers for suppliers to sell their products in the Control States.

Private real estate company CBRE was picked by the state to serve as broker for the sale.

It served as a broker, forming partnerships with academia, government and business.

Wells Fargo Insurance Services, USA, Inc. serves as our broker.

The plaintiff alleges that Expedia, which serves as a broker or middleman for hotels, didn't remit the full sales tax to the hotels, but instead remitted the sales tax on the wholesale rate — and then pocketed the difference.

Besides creating a new insurance entity, other ideas include the city serving as a broker and advocate for city residents or working with an existing insurer as a preferred provider.

These exchanges serve as brokers, and play a role similar to that of the stock exchange during an IPO.

You will serve as a broker for clients who are buying and selling and will have the freedom to create a personalized plan for each client to ensure a successful real estate transaction.

The brokerage is owned by Cosmo Condina, Carmela D'Amico and Peter Fischer, who will serve as the broker of record.

The Real Estate Equity Company LLC served as a broker.

Most recently, he served as a broker with Royal LePage in the York Region, specializing in mid-market investment properties.

Doderai, who serves as broker, is a lifelong resident of Prince Albert.

One of Boorstein's most notable transactions occurred in October when he served as broker for LifeStorage, a group of seven Chicago - area stores with 500,000 sq. ft. and 3,853 rental units.

Engel & Völkers recently opened a new office in Oakville, Ont., led by Scott Russell, Jo - Anne Copeland and Richard Rutkowski, who will also serve as the broker of record.

Prudential Mortgage Capital Co.'s Sarah Teunis, director, led the transaction, along with HFF's Riaz Cassum, Jay Marshall, Robyn King and Jennifer Keller serving as brokers.

He served as broker at the firm, while his brother Dan Gies was broker of record.

Prior to that, he served as a broker associate at the firm, which under his leadership has doubled its agent ranks.

According to Newmark Knight Frank, which served as broker, it was the culmination of a largely complex, multi-transac-tional deal that started with former occupant CNA selling and vacating its headquarters there in 2015, followed by the asset's 2016 acquisition by the John Buck Co. and Morgan Stanley.

I am privileged to serve as her broker, and know that she goes above and beyond the call to take care of buyer and seller needs.

A third member of the management team, Linda Olson, will serve as the broker of record for the new office.

She works as a salesperson and owner at the brokerage, with 3 Percent Realty founder Roy Almog currently serving as broker.

She is an 18 - year veteran of the business who most recently served as the broker for a 100 - agent office operation in the Dartmouth area.

He serves as a broker - owner for a two - person office he opened, but spends most of his time selling.

Eastdil Secured served as the broker in the transaction.

The firm served as the broker on the sales transaction, and secured the financing from a life company, which was one of 10 lenders to participate.

Not exact matches

These reputable schools serve as a protection against the darker side of body brokers.

The company serves Canadian homeowners both directly, and through a network of referral partners such as banks, mortgage brokers and investment advisors.

«Being designated a primary dealer by the Federal Reserve Bank of New York is consistent with our global strategy of expanding our broker - dealer activities, as we seek to serve our clients with broader execution services and greater market insight and ideas,» Corzine said in a press release statement at the time.

To support the new law increasing access to mental health care, Barden said he met with several lawmakers and served as a «broker between different stakeholders».

Even with the act's regulations in place, there will probably be lingering questions about whether crowdfunding sites are serving merely as information portals or as securities broker - dealers that must register with federal regulators.

Three of them manage a regional group of sales brokers, and one serves as an inside sales coordinator.

«The [sellers] are oversubscribed and will allocate this on a first - come, first - served, basis as most wires have already been coming in,» the broker wrote in the email.

He served as Controller for an investment advisor within The Hartford that managed $ 50 billion in assets and also served as the Financial Operations Principal for two of The Hartford's largest broker - dealers.

A broker or adviser who serves as a fiduciary over your retirement assets doesn't necessarily have to act in your best interest when managing your other assets; make sure you ask.

Adrienne serves as a liaison between Muhlenkamp & Company and the broker / adviser community, as well as the Company's self - named mutual fund and its custodian bank.

Platform fees and minimums are set in place to control costs, and while these serve simply as examples, investors should be aware of them if they are considering an online broker based solely on its platform.

No prestigious broker would risk its reputation by associating with a fraudulent site so this serves as strong indications that Automatedbinary is an honest site.

This was fueled by lending by brokers that at times reached two - thirds of the stock price, with the purchased stock serving as collateral.

He has served on the investment committee for a family office and has first - hand experience in the issues facing a family office such as managing an in - house accounting team, maintaining relationships with various third parties such as brokers, bankers, custodians, tax and trusts and estates consultants.

Ouisa Capital believes the investing public will be better served if FINRA and the SEC provide guidance to firms using DLT to help them better understand when transactions effected through a platform require the participants to register as a broker, an exchange, or an alternative tradition system.

He began his equity research career at Prudential - Bache Securities in 1987 and served as equity market strategist at a number of small regional brokers prior to joining FTN Equity Capital Markets.

Kogan joined Pearl following a 10 - year career in the fintech space, most recently serving as the director of OnDeck's broker division, where he funded 10,000 loans for more than $ 650 million in volume and was able to grow production from $ 14 million to more than $ 40 million per month.

This should serve as substantial evidence that HighLow is actually a reputable and reliable broker with zero tolerance o fraud activities on its trading platform.

It mandates that all who serve as fiduciaries — broker - dealers, investment advisors, insurance agents and the like — must act in the best interest of their clients.

According to the SEC's order, Morgan Stanley had its affiliate, Morgan Stanley Equity Financing, serve as a customer of its U.S. broker - dealer, a relationship that allowed the affiliate to use margin loans from the U.S. broker - dealer to finance the costs of hedging swap trades with customers.

has played a disgraceful role throughout, failing to serve as an honest broker.