Broker Dealer: Overview, Products & Services

Resources Designed to Support and Improve Broker Dealer Operations

What is a Broker Dealer, or Investment Bank?

Broker/Dealers, sometimes also referred to as investment banks, act as intermediaries between markets (stock exchanges) and consumers (individuals and institutions). Brokerages provide an entry point for clients looking to perform trading activities and act as certified, regulated dealers within various stock exchanges (such as the New York Stock Exchange or NASDAQ). They maintain secure servers and trading systems that allow trades to be executed remotely. These systems interface directly with various stock exchanges to match buy orders with sell orders and provide real-time pricing data for clients on various financial products, such as stocks, bonds (fixed income), currencies, and commodities. Broker-dealers also offer financial advisory services, publish investment data, raise capital for clients and take part in market-making activities (providing liquidity).

KPI's and Data

Org Charts

A typical broker dealer, or investment bank, is composed of several common sub-functions, or teams, that work together to generate new business, manage client relationships, provide long and short-term financial planning to corporations and high-net worth individuals, and configure and clear trades for their own profit and on the behalf of their clients. Browse our broker dealer organization chart page to learn about the roles and responsibilities of each major function. Then, download our org chart template (PDF, Visio, PPT) to further understand organizational structure, and support improvement efforts within broker dealer operations.

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Best Practices

Check out our broker dealer best practices page to view selected descriptions of work methods that have been proven to produce better results (as compared to other, similar methods). Want more? Download our Broker Dealer best practices guide, which provides a healthy selection of valuable best practices that can be incorporated to improve broker dealer operations. There might not be only one "best" way to perform every task. However, there is always a "better" way.