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John Fielding,
CEO
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In the summer of 1983 the company formed an NASD broker/dealer subsidiary to administer and supervise the securities business of independent contractors.
We're two related financial services broker-dealers based in San Diego, offering Representatives who are affiliated with our nationally recognized company exceptional service provided by our excellent team of skilled people, as well as continuing education, and advanced technology.
A demand by a broker/dealer that a customer deposit enough money or securities to bring a margin account up to the initial margin or maintenance margin requirements.
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Brian Mengel,
Civil Servant
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Under that rule, broker-dealers who recommend covered securities to persons other than established customers and accredited investors must make a special written suitability determination for the purchaser and receive the purchaser's written agreement to a transaction prior to sale.
The Examination Section is responsible for conducting periodic field examination of broker-dealers and investment advisers registered in Hawaii to ensure that both the firm and their employees are in compliance with the Hawaii Uniform Securities Act.
We are not a broker dealer, and we are not an investment advisor, as those terms are defined under the rules and regulations of the Securities and Exchange Commission, and the regulatory bodies of the fifty states of the United States.
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Sveta Romanova,
Intelligence Officer
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Since it is impossible to sell Liberian rough officially, dealers and brokers are seeking to camouflage their Liberian diamonds as those from neighbouring countries markets.
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Mike Enlow,
Internet Marketer
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We are not brokers who refer you to another dealer or auctioneer for a referral fee.
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Dave Simons,
Internet Entrepeneur
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GCM generally selects brokers and dealers to execute client transactions based primarily upon their ability to deliver best price and execution.
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Dan Toomey,
Computer Salesman
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Dealers and brokers buy buildings at wholesale from building manufacturers and resell or "retail" them to end-users.
Unlike brokers who rarely use their own money to purchase equipment, actual equipment dealers invest their own resources into each piece of equipment they purchase for the purpose of resale.
Croix Auto Brokers will use our network of franchised dealers to locate the vehicle that you specify at the best price available.
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