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Life Settlement
Educational Information
Welcome Funds has compiled every term, phrase & definition related to life settlements. Have more questions? Call us toll-free at 1-877-227-4484 or complete our Quick Online Qualifier to determine your eligibility.

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DEFINITION OF BROKER-DEALER

A broker-dealer is a firm or individual in the business of buying, selling, and managing securities. A broker-dealer will conduct business as both a broker (buyer) and a dealer (seller) depending on the specific transaction. Broker-dealers are required to be members of the Financial Industry Regulatory Association, also known as FINRA (finra.org) and legally must also be registered with the United States Securities and Exchange Commission (the SEC).

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Related Pages: FINRA, SEC