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UNITED STATES AND EXCHANGE COMMISSION Washington, DC 20549SECURITIESOMB APPROVAL OMB Number: 32350123 Expires: March 31, 2016EHst aged aeverageeburd 2.00ANNUAL AUDITED REPORT SEC FILE OUTPERFORM X17A58
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The name of the broker dealer is the legal name of the entity that is registered as a broker dealer.
Any individual or entity that is registered as a broker dealer with the appropriate regulatory authorities is required to file the name of broker dealer.
The name of the broker dealer should be filled out on the appropriate forms provided by the regulatory authorities, following the instructions provided.
The purpose of the name of broker dealer is to provide a clear and accurate identification of the entity that is registered as a broker dealer.
The information that must be reported on the name of broker dealer typically includes the legal name of the entity, any trade names or DBAs, and any other relevant identifying information.
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