Broker Dealer For Independent Investment Bankers


How We Serve Our Investment Bankers

Foundersuite overview for investment bankers broker dealers and VCs

Whether youre looking to start, grow or run a better investment banking firm, we can help. As an independent investment banker at IIB, you can outsource your entire back office to us and be free to focus on servicing your clients.

Giving you an instant foundation of support allows you to focus on reaching your goals, through a business partnership based on mutual success. Remain compliant and grow your business with value-added services provided by our experienced team.

Kewaunee Scientific Corporation Inc

Tobin & Company developed an assessment and report of the fair market value of the stake not owned by the parent company in order to create a basis for negotiating the purchase of the stake.

Our team developed public and transaction comparables based in Southeast Asia through independent research. The analysis provided a rigorous evaluation of various discounts for Minority Interest and Key Person.

Tobin & Company advised the CEO and CFO on negotiation approaches, and presented the 27 page financial model and reports to the companys Board of Directors.

What Is A Brokerage

A brokerage is an entity that provides intermediary services to individuals facilitating sales and purchase transactions. Brokerages can provide services across a variety of industries where individuals and businesses buy and sell goods or services. Common areas brokerages operate include finance, real estate and insurance. Brokerages typically provide services that facilitate sales transactions between a buyer and a seller, and brokers who work for these types of institutions may often:

  • Execute trades on financial markets on behalf of clients

  • Provide support and information on economic standards, trends and activities

  • Facilitate loan requests and approval within established margin transactions

Brokerages often serve as the financial intermediary for many clients who buy and sell securities on the stock exchange. Additionally, many brokerages employ financial professionals who perform a variety of tasks related to helping clients understand the stock market, trade stocks and make profitable stock trading decisions.

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Charles & Colvard Ltd

Tobin & Company worked with the client to assess the current environment around poison pills and to make an independent recommendation regarding the renewal of the plan.

Tobin & Company provided an analysis of the potential impact on shareholder value of an extension of the shareholder rights plan.

Tobin & Company executed a market analysis of the companys susceptibility to a takeover attempt.

Independent Investment Bankers Corp Announces Huron Capital And Pueblo Mechanical & Controls Acquisition Of Infinity Contractors

Investment banking services and technology

FORT WORTH, Texas, July 27, 2021—-Independent Investment Bankers Corp. is pleased to announce that William Armstrong who is a FINRA licensed investment banker with IIB and founder of Siglo Capital, LLC has assisted with their buy-side client, private equity firm Huron Capital Partners HVAC and plumbing installation, retrofit, and repair services platform, Pueblo Mechanical & Controls , with the acquisition of Infinity Contractors , a transaction that will give the company a strong and growing presence in Texas.

“It was a pleasure for Siglo to serve Huron Capital/Pueblo Mechanical & Controls as buy-side advisor in this accretive transaction,” Armstrong said. “Infinitys exemplary track record and market coverage will be a major boon for Pueblos continued and already impressive growth as they expand eastward into Texas and beyond. Many congratulations and best wishes are due Scott Hauncher, Dan Bueschel, the Huron and Pueblo teams, and the Salter family and Infinity staff.”

For more information about this transaction or for M& A inquiries, please contact William Armstrong at .

About Siglo Capital

Founded by William Armstrong in 2018, Siglo Capital is a middle market Mergers & Acquisitions advisory firm specializing in buy-side, sell-side, and capital advisory services for an array of industries including industrials, healthcare, technology, energy, and manufacturing, to name a few.

About Independent Investment Bankers Corp.


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Finra & Sec Compliant Deal Process

  • We have a non-invasive process that snaps right into a best practices approach for executing a deal. All the big firms follow the same approach.
  • Run background checks on company sellers to make sure they are not on a financial crime list for things like securities fraud.
  • Utilize a deal room and ensure all deal information is secured in cloud-based folders that meet SEC certification for archiving and storing electronic information.
  • Perform a completion test to ensure all information is compiled according to the buyers and investors checklist requests.
  • Review marketing documents to ensure inclusion of the appropriate disclosures and that there are no unsubstantiated promises or guarantees. .
  • Prior to close, with sophisticated tools, we thoroughly review the investor/buyer in the deal to make sure they are not associated with criminal organizations.
  • The source of the funds is carefully reviewed in order to compliance with the Patriot Act.
  • Working with the banker, a transaction summary report is assembled to ensure the transaction has been properly documented and will be easy to review should regulatory examiners wish to inquire.
  • When the funds come in, we pay the banker on the same day.

Anatomy Of An Offering

A company selects an investment bank to be lead manager of a securities offering responsibilities include leading the due diligence and drafting the prospectus. The lead manager forms a team of third-party specialists, including legal counsel, accounting and tax specialists, financial partners, and others. In addition, the lead manager invites other banks into an underwriting syndicate as co-managers. The lead and co-managers will allot portions of the shares to be offered among themselves. Because their underwriting fees derive from how much of the issue they sell, the competition for lead manager and senior allotment positions is quite intense.

When a company issues publicly traded securities for the first time through an initial public offering , the lead manager appoints a research analyst to write a research report and begin ongoing coverage of the company. The report will contain an economic analysis of the business and its prospects given the market for its products and services, competition and other factors. Once the analyst initiates coverage, they will make ongoing recommendations to the bank’s clients to buy, hold or sell shares based on the perceived fair value relative to current share price.

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Careers In Brokerages And Investment Banks

Brokerages and investment banks rely on a range of finance processes to maintain operations. In both types of financial institutions, finance professionals can find many diverse career opportunities. Entry-level positions in brokerages and investment banks can provide long-term career growth for professionals entering their finance careers. Mid-level roles provide advancement opportunities that strengthen leadership and management skills, and senior-level roles support the processes that keep brokerages and investment banks in business. If you’re curious about what kinds of job roles you can find in brokerages and investment banks, consider the following examples:

  • Brokerage associate:

Option #: The Hybrid Model

Independent Broker Dealer

A Series 65 is all you need to become a financial advisor. Adding a Series 7 license gives you the ability to sell commissionable products like annuities and mutual funds. Unfortunately, you cannot use that license if you dont have a broker dealer affiliation.

Independent broker dealers like LPL are popular because they offer the best of both worlds. Advisors are independent business owners, but they are also part of an organization that supports them and gives them the ability to earn commissions.

If you choose this route, research broker dealers thoroughly before agreeing to come on board. Some BDs have restrictions on fintech, prospecting methods, territories, and advertising. Review all of these to make sure their model fits your needs.

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Since 1989 We Have Been Doing Due Diligence And Research On Every Major Independent Broker Dealer And Take Pride In Our Ability To Save Time And Increase

Get fresh independent broker dealer jobs daily straight to your inbox! Partner with a broker dealer that knows your business. Our specific services include the following Independent broker dealers are securities and investment traders who operate autonomously from any external employer. Tap into our vast array of expertise that you can utilize to grow and operate your boutique investment. Broker dealer select has a unique perspective to offer you when you are looking for a new independent broker dealer. Since 1989 we have been doing due diligence and research on every major independent broker dealer and take pride in our ability to save time and increase. If you choose to work for someone, you may be investing in a management team about which you know very little. It is a decision that warrants considerable time and understanding of the marketplace. Security and exchange commission and incorporated in the state of delaware. 243 likes · 1 talking about this. With over 30 years experience, we. Just because you are independent does not mean you are alone!

But the payoff is that the workload is much lighter.

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Option #: Become A Bank Broker

If youre tired of prospecting and dont mind toeing the company line, becoming a bank broker may be the right option for you. Rather than constantly chasing new business, customers come to you.

Like wirehouse brokers, bank brokers are limited to selling only the financial products their institution offers. Compensation is typically a salary with a bonus structure thats based on production or also as a percentage of revenue generated. The numbers can be substantial, so this is not a bad way to make a living.

Its important to not confuse banking in this context with investment banking. They are two entirely different categories. Bank brokers work 9 to 5. Investment bankers have been known to do hundred-hour work weeks. They get paid well for it, but its a grueling pace.

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Britehorn Securities Has Got You Covered

If you are seeking a broker-dealer to support your investment banking and private placements activities, look no further. We focus on providing premium service based on reliable and secure technology solutions. We are straightforward with no hidden fees and we cater strictly to professionals involved in institutional business.

Please note: as of Regulation Best Interest going into effect in June 2020, Britehorn Securities no longer permits our registered representatives to directly sell, solicit, or make recommendations to any “retail customers” . We strictly work with M& A, institutional, and wholesale channels.

How Did You End Up As A Senior Compliance Officer At M& a Securities Group

Best Independent Broker Dealer

I joined M& A Securities Group because I enjoy the hands on experience that comes with working in this space alongside our representatives and their private investment banking practices. Being the Senior Compliance Officer of the firm means I am actively involved in continually enhancing our operations as a compliance department to meet the ever evolving challenges of the regulatory environment under which we operate.

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Brokerage Vs Investment Bank: What’s The Difference

Brokerages and investment banks are two types of financial institutions that provide services to clients who want to invest in long-term financial growth and earn passive gains. Many professionals who find employment in brokerages and investment banks must have the expertise necessary to take on the complex financial tasks of their roles.

Although brokerages and investment banks may share similarities, there are several differences between these two types of financial entities. In this article, we explore what brokerages and investment banks are, the differences between working in a brokerage versus investment bank and some examples of the professions you can find in brokerages and investment banks.

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Affiliating With Britehorn Securities Allows You To:

  • 1.Maintain or take the FINRA exams necessary to conduct your securities-related business.
  • 2.Stay abreast and in compliance with the latest rules and regulations specific to your type of business.
  • 3.Conduct security transactions legally and soundly, with our support in the case of FINRA or SEC oversight.
  • 4.Collaborate, if youd like, with other Britehorn Securities investment bankers, placement agents, and institutional sales personnel.
  • 5.Leave the compliance legwork and paperwork to us with a dedicated, certified Chief Compliance Officer always available to you.

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Empowering Professionalism With Confidence

Tobin & Company Securities LLC offers a securities licensing platform for individuals who provide M& A and private placement services and execute transactions. We bring Wall Street expertise, integrity, skill sets and professionalism to registered representatives who demand quality of service in order to best serve their own clients. Tobin & Company empowers our representatives and supports financial professionals running their own investment banking businesses.

Grubb Southeast Real Estate Fund Vi Llc

Independent Broker/Dealer

Our team conducted due diligence to conFirm the offering documents and to establish suitability of the offering. Tobin & Company also accredited investors and ensured individual suitability as well as complicated CIP compliance and AML clearances. The Firm also managed all necessary filings with and responses to FINRA.

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Roles And Functions Of Modern Investment Banks

Perhaps no other industry inspires as much awe, intrigue, controversy, and curiosity as the global investment banking industry. Investment banks have a storied history and today, they sit astride the fast-paced flow of global trade and capital.

This article provides a brief historical overview of investment banks, describes the different roles they play in the origination and distribution of securities, and examines the conflicts of interest that arise when these functions take place under one corporate roof.

Why Contact Tobin & Company

Most websites deploy contact us and then companies are disappointed when no one does.

Contact Tobin & Company and heres what you get well listen. And we will giveyou our opinion about whether our services might be a good fit for your needs.

Tobin & Company Investment Banking Group LLC provides a range of investment banking services to the lower middle market. Tobin & Company prides itself on offering a refreshing approach to investment banking with our collegial atmosphere that allows us to connect on a personal level with business owners, entrepreneurs and their investors.

Contact Us

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United Mortgage & Loan Investment Corporation

Tobin & Company conducted an extensive technical valuation analysis of the underlying subsidiaries value and the related forms of consideration.

Tobin & Company completed a sophisticated rate study to determine the fairness of loan vehicles put into place.

Tobin & Company rendered an opinion as to the consideration to be paid by the purchaser, related contributions to the transaction, as well as other economic terms and conditions from a financial point of view.

Role Of The Broker Dealer

What Is an Independent Broker

After the Stock Market Crash of 1929, and the ensuing Great Depression, congress determined to create laws that would protect the investing public. The primary goal was to provide information to the public about the securities offered, and the broker-dealers who offered them. The Securities Exchange Act of 1934 required securities broker dealers to register with the federal government. Over time, regulation of securities broker dealers has become much more than just transparency and providing information. It has created a complex body of law that requires brokers to determine whether their recommendations are suitable for their clients, by requiring them to know their clients and the products they are recommending. Broker-dealers are regulated by the Securities Exchange Commission and the Financial Industry Regulatory Authority to try to make sure the brokers are acting in their clients best interest.

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The Rise Of Investment Banks

During the 19th century, a new model came into popular use, particularly in the United States. Firms seeking to raise capital would issue securities to third-party investors, who would then have the ability to trade these securities in the organized securities exchanges of major financial centers such as London and New York. The role of the financial firm was that of underwriter, representing the issuer to the investing public, obtaining interest from investors and facilitating the details of the issuance. Firms engaged in this business became known as investment banks.

Firms such as JP Morgan didn’t limit themselves to investment banking, but established themselves in a variety of other financial businesses, including lending and deposit taking . The stock market crash of 1929 and ensuing Great Depression caused the U.S. government to reach the conclusion that financial markets needed to be more closely regulated to protect the financial interests of average Americans. This resulted in the separation of investment banking from commercial banking in the Glass-Steagall Act of 1933.

Goldman Sachs, Barclays, and Citgroup are three of the top 10 global investment banks in 2020.

The firms on the investment banking side of this separation went on to take a prominent role in the underwriting of corporate America during the postwar period, and the largest gained fame as the so-called bulge bracket.

About Independent Investment Bankers

Independent Investment Bankers is an SEC broker-dealer and FINRA/SIPC member that provides back-office solutions for boutique investment banking firms nationally. It offers a business-friendly noninvasive approach to compliance so investment bankers can operate independently while still meeting the necessary regulatory requirements. It is based in Austin, Texas.

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Were With You Every Step Of The Way

Independent Broker-Dealer: Services for RIA’s Registered Inv

Our Customers

BCA is a true value-added partner for independent investment bankers and M& A professionals.

We have an extensive regulatory compliance background that allows us to solve issues quickly.

What Makes us Unique

Our broker/dealer platform is simple and easy to use. It allows our bankers to focus their talent on their clients needs. Our goal is to streamline regulatory compliance to allow our bankers to focus their time and talent on their clients transactions.

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