Broker-Dealers for Sale

NY Broker-Dealer

5K Net Cap. Established in 2012 – Completely clean. 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

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.

Mid-West Broker-Dealer

5k Net Cap. Established 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.

Ready to see what we can do for you?

Speak with one of our Principals and discuss how we can help your business.

We knew we needed help when we found out that our audit was coming up. We’re a small firm and we just didn’t have the bandwidth, so some things were overlooked. A colleague turned us on to CXG, they were there for us every step of the way

VA Broker-Dealer
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