"GG" - $5,000 net capital requirement. Registered since February 2001. Missouri LLC. Approved to engage as a mutual fund retailer and broker or dealer selling variable life insurance or annuities. All business conducted direct with issuer/sponsor (no clearing relationship). Registered in 5 states. One disclosure from 2005 – non-material. Principals will consider, subject to negotiation, remaining on during transition depending upon type of business and ability of buyers to supervise day to day activities. Current CCO does wish to remain on as a registered rep servicing customer business. His willingness to stay on as CCO is also subject to negotiation. - Asking Price: $55,000.
That’s all we have in inventory at this time, however, new opportunities may arise at any time, so if you don’t see what you’re interested in, feel free to still contact us, and we will keep your information on file in the event a more appropriate fit comes to our attention.
See a firm you're interested in? Considering selling or closing up shop? Contact us about buying or listing a firm.