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Broker Dealer


Broker Dealer

Broker-dealers firms include the primary dealers and other traditional Wall Street organizations, as well as large commercial banks, investment banks, and even small independent boutique firms that cater to the wealthy.

Broker-dealers play an important role in the financial markets, as these firms provide the infrastructure that facilitates stock trading. In fact, if you want to buy stock, you must open a brokerage account through a brokerage firm. The brokerage firm makes sure you have enough money in your account to conduct a trade, facilitates the trade by interacting with stock exchange where the stock is traded, provides the computer systems that enact the trade and keep records of the trade. It also handles the financial transaction between the buyer and the seller. And it facilitates future transactions (dividends, stock splits, corporate actions such as those that occur when preferred securities are called or stock splits take place).

With the help of OMNI, you are able to:

  • Affiliate RIA survey lance
  • Compliance and oversight functions

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