Broker-Dealers for Sale

Broker Dealer for Sale | Compliance Exchange Group

Broker Dealer for Sale

View Our List of Broker Dealers for Sale

While searching for the right Broker Dealer to acquire, a major frustration shared by many is feeling limited by the resources available for accessing an up-to-date and complete list of Broker Dealers for sale. The team at CXG set out to address this concern by developing the first private platform ( dedicated to selling and buying both shell and performing Broker Dealers.

Book an appointment today to discuss your needs and get connected with the Broker Dealer platform. merges human expertise with cutting edge technology to identify the best match for both buyers and sellers of Broker Dealers.

Connect with the Broker Dealer platform to Get Help with:

  • Understanding the capital and strategic needs of both sides of the Broker Dealer marketplace.
  • Providing key metrics and best practices to buy, run, and manage your Broker Dealer effectively; or list your performing or shell Broker Dealer for sale.
  • Gain insight into the ever-shifting regulatory landscape.

NY Broker Dealers for Sale

5K Net Cap. Established in 2012 – Completely clean Broker Dealer for sale. Currently approved for 5 lines of business: Private Placements (PLA), Mutual Fund Sales (MFR), Selling Group Participant (Best Efforts), M&A Advisory and Variable Life Sales (VLA). Approved for up to 15 registered persons; principal willing to stay on through the transition.

CA Broker Dealer for Sale

5K Net Cap. Established in 2005. Currently approved for 7 lines of business: Equities Retailer (BDR), Options (PCB), Municipal Securities Broker (MSB), Private Placements (PLA), Debt Securities (BDD), Mutual Fund Sales (MF), and Variable Life Sales (VLA). Approved for up to 35 registered persons; 2 principals willing to stay on through the transition of Broker Dealer for sale.

Mid-West Broker Dealer

5k Net Cap. Broker Dealer for Sale was Established in 2015. Currently approved for Private Placements (PLA) and M&A Advisory Services. Owner/Principal willing to stay on for salary and run firm. Approved for 10 registered reps and 3 offices.

FL Broker Dealer

5K Net Cap. Established 2011. Currently approved as Mutual Fund Retailer (MFR), Private Placement of Securities (PLA) and Variable Life Sales (VLA). Approved for 15 registered reps and 3 offices.

Connect as a Buyer

The platform is made up of three types of buyers:

  • Buyers seeking to acquire shell or producing Broker Dealers for sale
  • Broker Dealer owners seeking to merge and grow through M&A activity
  • Investors looking to place growth capital into producing Broker Dealers

This Broker Dealer platform is the first of its kind to assist buyers with finding the right Broker Dealer by using an effective combination of human experience and cutting edge technology. Experience the difference, book an appointment to join the platform today!

Need To Sell a Broker Dealer?

When selling a Broker Dealer, having experience on your side is vital. The team at CXG brings decades of CMA experience to the table.

We know what is essential to sellers:

  • Anonymous Listings
  • Fast Closing
  • Low Risk
  • Qualified & Vetted Buyers

Broker Dealer Marketplace

At only ‘live’ listings sit on the platform. Book an appointment to join the platform today and see the results CXG & can provide for you.

Anonymously List a Broker Dealer

Whether you need to sell your firm or bring in working capital by acquiring a new partner, it’s important for owners to trust how information related to their Broker Dealer will be handled. At CXG &, we have a strict Privacy & Confidentiality Policy. Most importantly, you decide who you share your information with. Until then, all information posted to the Platform is completely confidential.

How Does It Work?

When you create your account and list your Broker Dealer for sale, the Platform will assign your firm a unique digital code. Rather than see the name of your brokerage firm, potential buyers will only see the digital code associated with your firm. Confidential means all identifiable information related to your Firm is hidden, or coded so that it remains concealed from potential buyers. Plus, every buyer is vetted and has a Non-Disclosure & Confidentiality Agreement on file.

Book an appointment with one of our highly trained professionals to discuss your needs and access our Broker Dealer platform.

Or call us at 631-595-5305.

Disclaimer: The information provided on this website is for general informational purposes only. It is not intended to constitute legal advice or to substitute for the advice of a qualified legal professional. We make no representations or warranties of any kind, express or implied, about the completeness, accuracy, reliability, suitability, or availability with respect to the website or the information, products, services, or related graphics contained on the website for any purpose. It is advisable to seek the advice of a qualified legal professional regarding your specific legal situation or questions.