Services

Whether you are leaving an existing firm to start your own business or have owned a Broker-Dealer and are ready to focus your efforts on growing your Investment Banking Firm, instead of focusing on compliance, we are here to help you solve your FINRA Registration and compliance needs. We are a firm of solely compliance, established in 2004, with compliance procedures that have been tested by Regulators through numerous audits. We are a great fit for Registered Representatives who are focused on putting their clients needs first, who have a target investor base of investment entities and institutions, and established firms looking for a turnkey compliance solution for their securities related transactions. 

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We maintain FINRA and state registrations for Representatives looking to conduct middle market transactions in Private Sector M&A and Private Placements. We customize costs to best suit our reps and their needs, with the goal of creating a mutually beneficial partnership in compliance. As a regulated entity we are held to a higher standard, we pride ourselves on our transaction friendly compliance process and our Representatives are afforded the benefit of an unbiased, behind the scenes Broker-Dealer serving to keep their transactions compliant.

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We offer guidance with regard to US securities regulations. We also conduct transactions with international parties. We have researched international requirements, and have common sense procedures designed to keep your international transactions compliant. 

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Registration requirements for M&A and Private Placements may vary based on your services, for more information on your specific circumstances please call us to discuss. All examinations and the services that can be provided with each registration are listed on FINRA's website.

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For more information on our Firm or current Representatives, please see FINRA Broker Check.