Who Can Use Broker Dealer Select

Sep 25, 2019 | FAQs, Introduction

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Are There Any Requirements to Use Broker Dealer Select?

Broker Dealers and RIA Firms

  • Independent Broker Dealers
  • Wirehouse Broker Dealers
  • RIA Firms
  • OSJ Groups

Financial Advisors

If you are a Producing Financial Advisor, with the following  3 criteria, you can register with Broker Dealer Select if you meet the following requirements:

  1. Minimum Production – $ 50,000
    • During any consecutive 12 month period over the last 24 months
    • Verified by 1099’s, Commission Runs, Tax Returns, etc.
  2. Currently Registered with FINRA or SEC
  3. You have a “Book” of clients that can move with you.

[Ref: What Is A Producing Financial Advisor]

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