broker-dealer

/ˈbrəʊkə diːlə(r)/ (bre, ipa) · /ˈbrəʊkər diːlər/ (ame, ipa)

broker-dealer — 名詞

1. a financial company or licensed professional that trades securities for clients

1.名詞C1
釋義

證券商

兼代客與自營買賣證券的業者

a financial company or licensed professional that trades securities for clients and can also trade using its own money

例句

Wei joined a broker-dealer that serves small investors across Taiwan.

Wei 加入一家為台灣小額投資人提供服務的證券商。

collocation: join a broker-dealer

Before the sale, the broker-dealer checked that the client understood the risks.

交易前，該證券商先確認客戶了解其中風險。

pattern: check that + clause before a trade

同義詞
  • securities firm

    common business label for the company itself, not necessarily the licensed function

  • broker

    emphasizes acting for clients rather than trading as principal

  • dealer

    focuses on buying and selling from the firm's own position

  • stockbroker

    often refers to an individual helping clients trade shares, not the dual business role

用法筆記

Often names a regulated firm rather than just one employee. In American finance, the term highlights that the same business can execute client orders and also trade with its own capital.

常見錯誤

❌A broker-dealer only sends a client's order to the market.
✅A broker-dealer can handle client orders and may also trade with its own money.
💡The term covers both the broker role and the dealer role.