Raymond James Case Study
Brian Wirz
What is a broker/dealer? Types
A broker/dealer is an intermediary in which investors purchase financial assets such as stocks, bonds, and mutual funds, as well as services such as financial planning, retirement, etc. Different types included “wirehouses,” which were the biggest firms that did business on a national, and often global, basis. There were also independent brokers who weren’t members of the NYSE. Lastly there were “regional” broker/dealers who had the same product scope as wirehouses but were based solely outside of New York.
What “channels’ does Raymond James use to serve individual investors?
Raymond James currently has two channels. One was a network of employee financial advisors. The additional channel was a network of independent financial advisors who had access to Raymond James’ product and services, research, back office operations, and brand name through an independent contractor relationship.
What is “front” money?......
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Approximate Word Count: 368
Approximate Pages: 2 (250 words per double-spaced page)
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