Clients / Broker Dealer

Broker Dealer

Our firm is built on our broker-dealer expertise and that experience comes from establishing broker-dealers through New Membership Applications (“NMAs”) and also from running broker-dealer firms.  We have acted as owners, CCOs, supervisory principals and FINOPs.  These real world experiences inform the way we approach NMAs, Change of Membership Applications (“CMAs”), regulatory inquiries, day to day compliance maintenance, and the development of compliance policies and procedures.  We take pride in having an open and good working relationship with FINRA and our clients benefit from our experience.

Specific expertise includes:

+ Private Placements

+ Investment Banking

+ Mergers and Acquisitions (M&A)

+ Equity Trading

+ Research

+ Custody