Sell Your BD

Sell Your Broker Dealer

We work with well capitalized broker -dealers who are interested in buying smaller broker dealers, or taking over their back office operations. We have seen an increased demand from smaller broker dealers considering a sale.
There are several reasons why a broker-dealer may consider a sale:

1. Increased rules and regulations.
2. Increased costs associated with running the broker dealer.  Especially compliance and legal costs.
3. Increased competition from larger broker-dealers.
4. Decreased profit from running the broker-dealer.
5. Increased financial reporting.
6. Taking time away from production.
7. Owners desire to exit the business.
8. Desire to outsource the compliance, legal, and clearing functions to another broker dealer.
9. Broker Dealers originally formed for business lines (like M&A) where market has seen decresed demand.

There are many broker dealers with fewer than 50 representatives who are finding increased costs associated with operations, compliance, legal fees, not to mention increased risk of arbitration.  We work with broker-dealers who would like to speak with you if you are considering selling your broker-dealer or just want to outsource your operations, compliance, and legal functions.  Please call us for a confidential discussion.  We have a network of firms who are interested in purchasing small producing broker dealers or "shell" broker dealers.


January 2017

1.   Bank Broker Dealer for sale with 45 bank reps producing 4.5-5.0 million in revenue.  High growth rate.  Owner looking for a buyout or a partner who will buy 50%.  In house training program has been established.  Asking for 4-5 million for 50% ownership. The owners will also consider other offers/partnerships.