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Home > Financial Services > Stock Brokers > Southwest Securities, Inc.

Southwest Securities, Inc.

Southwest Securities, Inc is a member of NASD, the National Association of Securities Dealers. NASD is a self-regulatory organization of the securities industry responsible for the operation and regulation of the NASDQ stock market and over the counter markets. It also administrates exams for the investments professionals, such as the series of 7 exams.

Southwest Securities Inc. is the principal broker/dealer subsidiary of SWS Group, Inc., and is a member of the New York Stock Exchange and other major exchanges. The firm offers a complete range of investment services through its Private Client Group offices and provides access to the capital markets through its investment banking, trading and market making activities. Southwest Securities is the largest full-service NYSE member firm based in Texas. The Company is a leading provider of cost-effective, integrated trade execution, clearing and client account processing to more than 200 financial services organizations nationwide. Their clients are supported by highly qualified, experienced operations personnel and 21st century technology that automates both front and back-office processes.

The Southwest Securities, Inc. Corporate Finance department is ideally positioned to serve the needs of entrepreneurial and growing companies. Their clients receive the highest level of service by being matched with one of their senior bankers, each of whom has a minimum of 15 years experience in financial transactions. Southwest Securities, Inc. Equity Trading Department is an essential component of clearing operations. Equity Trading uses cutting-edge technology to deliver order flow to market centers for automated execution. They use the Bloomberg Trading platform to insure that each of their orders, whether managed by market makers or delivered to other market centers, is provided limit order protection as prescribed under SEC rules.

The company's goal is to have steady growth through working closely with their customers to help them succeed in their investment plans. With the past performance of the company in mind and the expertise and dedication of the management and staff the company is expected go to far greater heights in the near future.

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