JOB DESCRIPTION: A broker-dealer is a person engaged in the business of buying and selling securities. In addition, a broker-dealer’s responsibilities may include offering financial counseling and educating clients in trading practices. Broker-dealers may serve a variety of clients such as private investors or institutional investors. A broker-dealer may choose to specialize in one or more specific financial products such as stocks, bonds, or options. NOTE: Most often, a broker-dealer is an artificial entity such as a corporation, limited partnership or limited liability company rather than an individual.
