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Over-the-counter

October 30, 2016 By Full Fusion

A market for securities made up of securities dealers who may or may not be members of a securities exchange. The over-the-counter market is conducted over the telephone and deals mainly with stocks of companies without sufficient shares, stockholders or earnings to warrant listing on an exchange. Over-the-counter dealers may act either as principals or as brokers for customers. The over-the-counter market is the principal market for bonds of all types. (See: FINRA, Nasdaq)

WP Glossary Term Usage

  • Unlisted stock

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CONTACT
Phone 210.547.3450
info@SHarrisFinancial.com

4456 Lockhill Selma Road, Suite 101
San Antonio, Texas 78249
fax 210.547.3451

  • Who We Are
    • Mission / Vision / Values
    • Who We Serve
    • What Makes Us Different
    • Our Commitment
    • About Us
    • FAQ
  • What We Do
    • Financial Planning / Wealth Management
    • Investment Management
    • Divorce Financial Analysis
    • Business Solutions
    • Second Opinion Service
  • How We Do It
    • Our Actionable Plan Approach
    • Investment Philosophy
  • Resources
    • Market Commentary
    • YouTube / Videos
    • Newsletters
    • Articles of Interest
    • Links of Interest
    • Other Resources
  • More Information

DISCLOSURES  |  FORM CRS

COPYRIGHT © 2025 S. HARRIS FINANCIAL. CREATED BY SYNERGY MARKETING

S. Harris Financial Group, LLC ("SHFG") is a Registered Investment Advisor ("RIA"), located in the State of Texas. SHFG provides investment advisory and related services for clients nationally. SHFG will maintain all applicable registration and licenses as required by the various states in which SHFG conducts business, as applicable. SHFG renders individualized responses to persons in a particular state only after complying with all regulatory requirements, or pursuant to an applicable state exemption or exclusion.