craigslist Jobs : Broker Dealer For Sale FINRA (Los Angeles, CA)

Broker Dealer For Sale FINRA (Los Angeles, CA)

FINRA Broker/Dealer Plus Mutual Funds Customer Accounts For Sale.

Opportunity to own and operate a FINRA Broker Dealer. Pension Service Associates Securities Corporation (PSAS) is for sale for $45,000. PSAS (CRD 29919) is a registered BD Broker Dealer California s-corporation, and was established 20 years ago. PSAS, a FINRA and NASD Member since 1992, is COMPLETELY CLEAN, with a pristine 20-year track record of no customer complaints. PSAS is a registered BD, approved for Broker Dealer selling of mutual funds and variable annuities. Firm has one principal, and has a $5K net capital requirement. Firm files quarterly FOCUS reports and has up-to-date annual certified audits. The bank checking account that holds PSAS's net capital requirement is not included in this transaction. Buyer will need to setup and fund a new net capital bank account.

Transaction includes approximately $4 million in mutual fund IRA Rollover and SEP IRA assets. These mutual fund assets generate approximately $10,000 annually in 12-B1 trailers. Average age of these mutual fund retirement accounts is approximately 12 years, and includes funds with John Hancock, MFS, Putnam, Evergreen, Black Rock, Eaton Vance and others. PSAS has approximately 100 clients, who have all been with PSAS for a minimum of 12 years. Of these 100 clients, approximately 20% are located in California, 10% in New York, and the others located in various other states.

Only persons who will be approved by FINRA for BD ownership can be considered for this offer. For more information please contact PSAS by email to:
James Gilbert jgilbert@401k-network.com Hiring Organization: Pension Service Associates Securities Corp.
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• Location: Los Angeles, CA
• Principals only. Recruiters, please don't contact this job poster.
• Please, no phone calls about this job!
• Please do not contact job poster about other services, products or commercial interests.