brokerage firm

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This is a company that provides investment services and act as intermediary in financial, security and capital markets. This company has many other names such as securities brokerstock brokerage, brokerage house, stock exchange broker or stockbroker company.

This type of company must be a public limited company (or PLC in the U.K.) or an incorporated company (or Inc. in the U.S.A.), either way being a publicly traded enterprise. The company must maintain a minimal capital level of between 300,000 and 500,000 euros, depending of its types of activities.
These companies have the following functions:

  • Take purchasing and selling orders for financial products for their clients (never for themselves)
  • Receive, transmit and execute orders
  • Provide private and individualised portfolio management
  • Provide investment consulting services for financial products.