Financial Institution Clients
What is a broker/dealer?
Broker/dealers are the people behind the scenes.
A broker/dealer firm can be a full-service organization that supports licensed financial advisors who may work within a bank or credit union conducting business with members of the general public.
Broker/dealers traditionally work with advisors rather than the end-client, offering marketing; compliance; general servicing and processing; as well as training, education, and networking opportunities to advisors.
Products are usually provided by product providers or sponsors although some products may be manufactured within the broker/dealer.