Synonyms for broker-dealer
bro·ker-deal·er

Princeton's WordNet

1. broker-dealernoun

   a financial specialist who trades for his own account and so acts both as a broker and principal

Matched Categories

1. • Principal

How to pronounce broker-dealer?

How to say broker-dealer in sign language?

How to use broker-dealer in a sentence?

1. Charles Whitehead:

   If they are the CEO of a shell company that does nothing more than manage the broker-dealer, that's an issue, if all you've done is rearrange the deck chairs so that you are.

2. Vlad Tenev:

   As a licensed broker-dealer, we're highly regulated and take clear communication very seriously.

3. James Giddens:

   This result, in the largest broker-dealer insolvency in history, could not have been anticipated in the dark days of the financial crisis when this liquidation began.

4. Sherwood Neiss:

   A funding portal is not a broker-dealer and hence not compensated to do the diligence (nor have the expertise, time or resources to diligence) the underlying companies, funding portals essentially act as a matching service. The premise of crowdfunding is the crowd reviews this information and makes their own decision. Hence, portals should not be held accountable for misstatements by the issuers. Issuers need to be held accountable for those misstatements.

5. Scott Purcell:

   Ouch, states have tools in their arsenal to make life miserable for issuers and to levy fines and force rescissions of completed offerings if the sales are made through anyone other than a licensed broker-dealer.