broker dealer for sale for FINRA licensed registered reps
Broker Dealer for Sale

FINRA Broker Dealer and Mutual Fund IRAs for Sale for $15,000

Opportunity to own and operate a FINRA Broker Dealer. Pension Service Associates Securities Corporation (PSAS) plus $2.2 million in Customer Accounts is for sale for $15,000, or:

--All the firm's IRA Rollover mutual fund accounts ($2.2 million in total assets) sold as a unit for $10,000

--The Broker/Dealer shell, sold without the IRA Rollover mutual fund customer accounts for $10,000.

The Broker/Dealer Pension Service Associates Securities (description):
Pension Service Associates Securities (PSAS) (FINRA 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 perfect and pristine 20+ year history and track record of no customer complaints and no compliance problems, ever! PSAS is a registered BD, approved for Broker Dealer selling of mutual funds and variable annuities. Firm's lines of business can be easily expanded to include private placements. Firm has one principal, and has a $5K net capital requirement. Firm files quarterly FOCUS reports and has annual certified audits performed each year by a licensed CPA.

The IRA Rollover Mutual Fund Assets (description):
Approximately $2.2 million in mutual fund IRA Rollover and SEP IRA assets. These mutual fund assets generate approximately $6000 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, Black Rock, Eaton Vance, Pimco and others. PSAS has approximately 60 clients, who have all been with PSAS for a minimum of 12 years. Of these 60 clients, approximately 20% are located in California, 10% in New York, and the others located in various other states. A comprehensive due diligence pack has already been prepared with the 5 most recent FINRA certified audits for buyer's review, in addition to pertinent details about the BD and proof of assets using DST Vision.

Only persons who will be approved by FINRA for BD ownership can be considered for this offer. Buyer must hold a current Series 7 and Series 24 licenses, and a current FINRA CRD number. Please send CRD number with any request for information. Pension Service Associates Securities FINRA CRD number is 29919. For more information please contact PSAS by email to:

James Gilbert Pension Service Associates Securities Corp.


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Topics covered:

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- Four Key Steps for Plan Sponsors to Use When Selecting Investments for It's Company's 401k

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