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SECTION II - PRODUCING BROKER DEALERS FOR SALE
Producing Broker Dealers where the price is negotiable, while all offers must go through Broker Dealer Market to be presented to the seller for acceptance. Prices do not include Net Capital. Please Note: Many firms, some recognizable, are NOT listed publicly, for privacy reasons.


167 Independent Broker Dealer & RIA.
P.O.A.
250+ Reps, Revenues of 25+MM.Approved for all Products!! Squeaky Clean. TOP NOTCH CLEARING FIRM!
   
166 SELF-CLEARING *FULL SERVICE*
P.O.A.
500K Net Cap), THIS IS A SELF-CLEARING FULL SERVICE FIRM AND HAS BEEN SELF-CLEARING FOR 50+ YEARS. This firm is a once in a lifetime opportunity! SQUEAKY CLEAN. New application and Approval Process for self-clearing can take up to 24+ Months. Principal will stay through Approval Process. NO DOWN TIME. Price upon request.
   
165 (100K Net Cap) established in 1989.
P.O.A.
(100K Net Cap) established in 1989. Approved to sell Government Securities Broker (GSB) Mutual Funds (MFR), Municipals (MSD)(MSB), Private Placements (PLA), Corporate Securities (BDD) and Securities of Non-Profit Organizations (Churches, Hospitals) (NPB). Registered in 5 States with Top NOTCH CLEARING ARRANGEMENT. THIS BD HAS 2 BRANCH OFFICES AND FOCUSES 90% OF THEIR BUSINESS ON MUNI BONDS. THEIR AVERAGE GROSS REVENUES OVER THE LAST 3 YEARS - 6.4 MM. THEY ARE COMPLETELY CLEAN WITH NO ACTIONS OR VIOLATIONS EVER. This BD Originates Municipal Bond Transactions and pays Large BD's to Market their Product. A LARGE BD SALES ORGANIZATION COULD CREATE EXPLOSIVE PROFITS. Principal with 9 Brokers, 1 Independent and 1 Support Employee will Continue with New Owners. NO DOWN TIME. Price upon request.
   
164 Northeast BD (5K Net Cap) Incorporated in 2001.
$7,000,000.00
Northeast BD (5K Net Cap) Incorporated in 2001. Registered in 50 states. Approved for Broker or Dealer retailing corporate equity securities over-the-counter (BDR), Broker or Dealer selling corporate debt securities (BDD), Broker or Dealer selling corporate debt securities (BDD), Mutual fund retailer (MFR), U.S. government securities broker (GSB), Municipal securities broker (MSB), Put and call broker or dealer or option writer (PCB), Investment advisory services (IAD), Non-exchange member arranging for transactions in listed securities by exchange member (NEX) and Private Placement of securities (PLA). Approved by SEC, FINRA and NASDAQ Stock Market. 50+ Brokers; Revenue of 9MM+.
   
160 (50K Net Cap) established in 1999.
$200,000.00
(50K Net Cap) established in 1999. This BD does General Securities, Registered in 1 State, with EXCELLENT CLEARING ARRANGEMENT. THEY HAVE 100 INSTITUTIONAL CLIENTS AND ARE A VERY UNIQUE COMPANY WITH UNLIMITED POTENTIAL. They are COMPLETELY CLEAN with No Actions or Violations ever. Principal will stay with New Owner for a Period of 3 Years.
   
141 (50K Net Cap) established in 1995.
$2,200,000.00
(50K Net Cap) established in 1995. Approved to sell Stocks (BDD)/(BDR), Government Securities Broker (GSB) , Mutual Funds (MFR), Municipals (MSB), Options (PCB), Limited Partnerships (TAP), Variable Annuities (VLA), Non-Exchange member arranging for transactions in listed securities (NEX) and Online Internet Trading. REGISTERED IN 26 STATES WITH GOOD CLEARING ARRANGEMENT. Product mix is 75% Stocks, 15% Mutual Funds and 10% Variable Annuities. THEY HAVE 25 BRANCH OFFICES WITH 2500 CLIENT ACCOUNTS, 125MM IN ASSETS UNDER MANAGEMENT AND GROSS REVENUES AT 1.3 MM. This BD has NEVER had any Regulatory Issues or Complaints. There are currently 4 Owners with 1 staying on along with 3 Brokers, 25 Independents and 1 Support Employee.
   
138 West Coast BD established in 1998.
$3,900,000.00
West Coast BD established in 1998. Approved to sell Mutual Funds (MFR), Variable Annuities (VLA), Variable Life, 529 Plans, Life Insurance. Registered IN 27 STATES. DUAL CLEARING ARRANGEMENT. Product mix is 28% Mutual Funds, 57% Variables, 15% Misc. APPROXIMATELY 15,000 CUSTOMER ACCOUNTS. 200 MM + IN ASSETS UNDER MANAGEMENT. Gross Revenues 3.2mm, 100+ Independent Brokers (Approved for 500+). THIS BD HAS ONE OF THE BEST MEMBERSHIP AGREEMENTS I'VE SEEN IN A LONG TIME. VERY CLEAN with NO ACTIONS. Principal will stay through approval process for a smooth transition.
   
132 (100K Net Cap) established in 1998.
$3,750,000.00
(100K Net Cap) established in 1998. Approved to sell Stocks (BDR), Options (PCB), Proprietary Trading (TRA), Non-Exchange member arranging for transactions in listed securities (NEX), Futures and Commodities. Registered in 35 States. Product Mix 40% Stocks, 10% Bonds, 10% Mutual Funds, 40% Options. Approximately 1500 Customer Accounts. 20MM IN ASSETS UNDER MANAGEMENT. 40 Brokers. 10 Support Employees, Two Offices. PRINCIPAL WILL STAY THROUGH TRANSITION PERIOD WITH NEW OWNER.
   
131 (50K Net Cap) established in 1987.
$2,200,000.00
(50K Net Cap) established in 1987. Approved to sell Mutual Funds (MFR), Tax Shelters or Limited Partnerships (TAP), Variable Annuities (VLA). Registered in 30 States. TOP NOTCH CLEARING ARRANGEMENT. Product Mix 5% Stocks, 1% Bonds, 63% Mutual Funds, 22% Variable, 1% Options, 5% Limited Partnerships, 3% Fee Based. 5400 CUSTOMER ACCOUNTS. 250MM IN ASSETS UNDER MANAGEMENT. Gross Revenue 3.1mm 34 Brokers and 3 Support Employees. PRINCIPAL WILL STAY THROUGH TRANSITION PERIOD WITH NEW OWNER.
   
130 (25K Net Cap) established in 1991.
$6,500,000.00
(25K Net Cap) established in 1991. Approved to sell Stocks (BDD)(BDR), Government Securities Broker (GSB), Kiosks in Banks or Credit Unions (BNA), Municipals (MSB), Mutual Funds (MFR), Selling Securities of Non-Profit (NPB), Options (PCB), Private Placements (PLA), Investment Advisory Services (IAD), Tax Shelters or Limited Partnerships (TAP), Variable Life Insurance, Variable Annuities and Insurance Products (VLA). Registered in 24 States. Product Mix 10.5% Stocks, 45.4% Mutual Funds, 3.3% Fixed Annuities, 37.2% Variable, and 3.6% Insurance. APPROXIMATELY 12,000 + CUSTOMER ACCOUNTS. 425MM IN TOTAL ASSETS UNDER MANAGEMENT. 83 Brokers, 17 Independents, and 12 Support Employees. 55 Brokers in Banks. PRINCIPAL WILL STAY THROUGH TRANSITION PERIOD. NO DOWN TIME.
   
113 (5K Net Cap) established in 1998.
$1,125,000.00
(5K Net Cap) established in 1998. Approved for Broker or Dealer retailing corporate equity securities over-the-counter (BDR), Mutual fund retailer (MFR), U.S. government securities dealer (GSB), Broker or dealer selling variable life or insurance or annuities (VLA), Put and call broker or dealer or option writer (PCB) and Non-exchange member arranging for transactions in listed securities by exchange member (NEX). Registered in 9 States. Agency only, serving only Institutional Clients. 99% Stocks and 1% Bonds. REVENUE $973K. TOP NOTCH CLEARING FIRM. Principal, 3 brokers and 3 support persons will stay with new owner.
   
110 (100K Net Cap) New York based, established in 1996.
$1,750,000.00
(100K Net Cap) New York based, established in 1996. Full service firm excels in raising capital for hedge funds and private equity, both direct investment and for funds. Approved for all products and although currently not doing so, this firm is approved for Market Making. Registered in 30 states product mix is 45% Hedge Funds, 25% Private Equities, 20% Stocks and 10% Mutual funds and bonds. 450 client accounts and 90MM AUM Substantially more in DVP accounts. CRD report shows this firm to be COMPLETELY CLEAN and this firm has EXCELLENT REPUTATION. Approved for 75 persons. Perfect opportunity for an offshore institution seeking a sophisticated U.S. broker dealer. Principal and 10 employees may stay with new owners.
   
108 SELF-CLEARING
P.O.A.
(500K Net Cap), THIS IS A SELF-CLEARING PROPRIETARY TRADING (TRA) FIRM AND HAS BEEN SELF-CLEARING FOR 20+ YEARS. SQUEAKY CLEAN. New application and Approval Process for self-clearing can take up to 24+ Months. Principal will stay through Approval Process. NO DOWN TIME. Price upon request.
   
107 (5K Net Cap) established in 1972.
$1,500,000.00
(5K Net Cap) established in 1972. Approved for Mutual fund retailer (MFR), Municipal securities dealer (MSD), Broker or dealer selling variable life or insurance or annuities (VLA), Broker or dealer selling tax shelters or limited partnerships in primary distributions (TAP) and Broker or dealer selling tax shelters or limited partnerships in the secondary market (TAS). Registered in 10 States. 8500 Client Accounts with 90MM in AUM. Product mix is 80% MF's and 20% Variables. Revenue 920k. Principal may stay with new owner.
   
106 BD (5K Net Cap).
$10,500,000.00
BD (5K Net Cap). Authorized to do Broker or Dealer retailing corporate equity securities over-the-counter (BDR), Broker or Dealer selling corporate debt securities (BDD), Mutual fund retailer (MFR), U.S. government securities dealer (GSB), Broker or dealer selling variable life or insurance or annuities (VLA), Put and call broker or dealer or option writer (PCB), Non-exchange member arranging for transactions in listed securities by exchange member (NEX) and Municipal securities broker (MSB). Registered in 43 States. This firm has 50+ Independent Reps, 20+ branches. Revenue 9.2MM 2007 6.5MM, 170 in AUM and 8MM in Fee Based Assets. This firm is COMPLETELY CLEAN. Principal will stay with new owners.
   
099 (100K Net Cap) established in 2000.
$7,000,000.00
(100K Net Cap) established in 2000. Approved to sell Broker or Dealer retailing corporate equity securities over-the-counter (BDR), Broker or Dealer selling corporate debt securities (BDD), Underwriter or selling group participant (corporate securities other than mutual funds) (USG), Mutual fund retailer (MFR), Broker or dealer selling variable life or insurance or annuities (VLA), Put and call broker or dealer or option writer (PCB), Non-exchange member arranging for transactions in listed securities by exchange member (NEX), Trading for own account (TRA) and Private Placements (PLA). Registered in 52 states. Product mix is 50% Stocks, 5% Bonds, 5% MF's, 5% Fee-based 5%, Options and 30% Other (PP's). This firm has 3000+ with 80MM in AUM.TOP NOTCH CLEARING FIRM. This BD has NEVER had any Regulatory Issues or Complaints. Principal may stay with new owners.
   
094 (5K Net Cap) Incorporated in 2000.
$300,000.00
(5K Net Cap) Incorporated in 2000. Approved to sell Stocks (BDR)/(BDD), Bonds, Municipals (MSB)/(MSD), Investment Advisory (IAD), Mutual Funds (MFR), Variable Insurance and Variable Annuities (VLA). Product mix is 10% Stocks, 3% Bonds, 62% Mutual Funds (MFR), 2% Fixed Annuities (VLA), 17% Variable, 5% Fee Based, 1% Other. Registered in WA, ID, OR, CA, AZ, MT, CO and WY. 700+ Client Accounts, Managed Assets of 1MM and 28MM IN ASSETS UNDER MANAGEMENT. 2 Branch Offices. 5 Brokers. GOOD CLEARING ARRANGEMENT. Principal will stay with new owner.
   
093 (5K Net Cap) Established in 1978.
$3,000,000.00
(5K Net Cap) Established in 1978. Approved to sell Broker or Dealer retailing corporate equity securities over-the-counter (BDR), Broker or Dealer selling corporate debt securities (BDD), Mutual fund retailer (MFR), U.S. government securities broker (GSB), Municipal securities broker (MSB), Broker or dealer selling variable life or insurance or annuities (VLA), Put and call broker or dealer or option writer (PCB), Broker or dealer selling tax shelters or limited partnerships in primary distributions (TAP) and Non-exchange member arranging for transactions in listed securities by exchange member (NEX). Registered in 33 states. Product mix is 50% Stocks and 50% Mutual Funds. This firm has 80MM fee based assets, 160MM in AUM. Gross revenues for 2008 - 2.5MM. TOP NOTCH CLEARING FIRM. Principal may stay with new owners.
   
092 (5K Net Cap) Established in 1984.
$4,000,000.00
(5K Net Cap) Established in 1984. Approved to sell Broker or Dealer retailing corporate equity securities over-the-counter (BDR), Broker or dealer selling variable life or insurance or annuities (VLA), Mutual fund retailer (MFR), and Municipal securities broker (MSB). Registered in 4 states. Product mix is 100 Mutual funds. This firm has 200+MM in client Assets. Gross revenues for 2008 - 2MM. TOP NOTCH CLEARING FIRM. This firm is approved for 7 OSJ locations and 16 Persons. This BD has NEVER had any Regulatory Issues or Complaints. Principal may stay with new owners.
   
091 (50K Net Cap) Established in 2004.
$4,500,000.00
Approved to sell Broker or Dealer retailing corporate equity securities over-the-counter (BDR), Private Placement of securities (PLA), Underwriter or selling group participant (corporate securities other than mutual funds) (USG), Non-exchange member arranging for transactions in listed securities by exchange member (NEX), Only Institutional Client Accounts and Prepare equity research for small and mid cap growth and value companies. Registered in 15 states. Product mix is 90% Stocks and 10% Investment Banking. This firm has 200 client accounts. TOP NOTCH CLEARING FIRM. This BD has NEVER had any Regulatory Issues or Complaints. This firm is also registered with BATS Exchange, Inc. and NYSE Arca, Inc. Principals and 10 Brokers will stay with new owners.
   
090 (100K Net Cap) Established in 2000.
$600,000.00
(100K Net Cap) Established in 2000. Approved to sell Broker or Dealer making inter-dealer markets in corporate securities over-the-counter (IDM), Broker or Dealer retailing corporate equity securities over-the-counter (BDR), Broker or Dealer selling corporate debt securities (BDD), Mutual fund retailer (MFR), Private Placement of securities (PLA), Put and call broker or dealer or option writer (PCB) and Trading securities for own account (TRA). Registered in 14 states. This firm has 160+ client accounts with 20MM in AUM. Gross revenues YTD $600K+. TOP NOTCH CLEARING FIRM. This BD has NEVER had any Regulatory Issues or Complaints. Principal may stay with new owners.
   
089 (250K Net Cap) Established in 1972.
$1,550,000.00
(250K Net Cap) Established in 1972. Approved to sell Broker or Dealer retailing corporate equity securities over-the-counter (BDR), Put and call broker or dealer or option writer (PCB), Mutual fund retailer (MFR), Municipal securities broker (MSB) and Municipal Securities Dealer (MSD). Registered in 2 states. Product mix is 100% Stocks. This firm has 800 client accounts with 24MM in AUM. Gross revenues for 2008 - 180K, 2009 - 168K. THIS IS A RETAIL SELF CLEARING FIRM. 1 Minor ding over 20 years ago. Principal will stay with new owners.
   
087 (5K Net Cap) Established in 1988.
$255,000.00
(5K Net Cap) Established in 1988. Approved to sell Broker or Dealer retailing corporate equity securities over-the-counter (BDR), Broker or Dealer selling corporate debt securities (BDD), Mutual fund retailer (MFR) and Municipal Securities Dealer (MSD). Registered in 10 states. Product mix is 20% Stocks, 75% Bonds, 4% MF and 1% Variables. This firm has 520 client accounts with 7 MM in AUM. Gross revenues for 2008 - $267K, 2009 - $244K. TOP NOTCH CLEARING FIRM. Principal may stay with new owners.
   
086 (50K Net Cap) Established in the 80's.
$2,550,000.00
(50K Net Cap) Established in the 80's. Approved to sell Broker or Dealer retailing corporate equity securities over-the-counter (BDR), Broker or Dealer selling corporate debt securities (BDD), Mutual fund retailer (MFR), Municipal securities broker (MSB), Broker or dealer selling variable life or insurance or annuities (VLA) and Investment advisory services (IAD). Registered in 51 STATES. Product mix is 1% Stocks, 1% Bonds, 2% Fixed Annuities, 42% Variables and 54% MF's. This firm has over 200 Reps, 8 Support employees, 30,000 client accounts with 500MM in AUM. Gross revenues for 2008 - 2.4MM, 2009 - 1.75MM. TOP NOTCH CLEARING FIRM. This BD has NEVER had any Regulatory Issues or Complaints. Principals, Brokers and Support staff are willing to stay with new owners.
   
       
Shells Producing RIA/Sales Private