"BB" - $5,000 net capital requirement. Registered since January, 2010. Approved to engage as a broker or dealer selling DPPs only within the definition of broker or dealer selling oil and gas interests, broker or dealer selling securities of only one issuer or associate issuers (other than mutual funds), broker or dealer selling tax shelters or limited partnerships in primary distributions, private placements of securities. Registered in 6 states. No disclosures. Shell only. Principals will not remain on during transition. Value added is in potential of shorter application due to ownership change vs. New Membership Application. - Asking Price: $32,500.
"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.
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