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Broker

A broker is a regulated intermediary that receives or executes customer transactions in financial instruments and may provide custody or related account services.

Defined termReviewed 16 July 2026

Related terms

Market MakerExecutionCustodySettlementLiquidityOrder Book

Educational risk notice

This material is general education, not personal investment advice or a promise of results. Markets can move beyond planned levels, and losses can exceed expectations when leverage, liquidity, gaps, or operational failures are involved.

Read the full risk disclosure
Trading glossaryReviewed 16 July 2026

Definition

A broker is a regulated intermediary that receives or executes customer transactions in financial instruments and may provide custody or related account services.

In market context

A broker can route an order to an exchange, market maker, or other venue, and may act in different capacities depending on the product and transaction. Services, protections, conflicts, fees, and execution duties vary by jurisdiction and account agreement. Customers should verify authorization, understand how assets and cash are held, and distinguish a broker from an exchange, adviser, issuer, or unregulated platform.

Source

Use the primary source for fuller regulatory or market context.

Investor.gov Glossary

Educational risk notice

This material is general education, not personal investment advice or a promise of results. Markets can move beyond planned levels, and losses can exceed expectations when leverage, liquidity, gaps, or operational failures are involved.

Read the full risk disclosure

Related glossary terms

Selected from explicit term relationships and shared tags.

beginner3 min

Market Maker

A market maker is a participant that regularly quotes prices at which it is willing to buy and sell specified instruments.

markets · executionRead guide
beginner3 min

Execution

Execution is the completion of an order against available trading interest, producing a fill at a price, quantity, time, and venue.

orders · executionRead guide
beginner3 min

Custody

Custody is the safeguarding and administration of assets or the credentials controlling them on behalf of an owner or account holder.

custody · securityRead guide
beginner3 min

Settlement

Settlement is the process that completes a transaction’s contractual exchange of money, assets, or ledger entitlements after execution or approval.

execution · transfersRead guide