Securities Business Hosting
IndieBrokers registers your investment professionals, provides supervisory oversight of conduct and sales practices, and guides your online presence, marketing efforts, and business plan. The principal goal of our experienced industry professionals is your success.
IndieBrokers:
Supports your brand identity - allowing your team to conduct business as a team
Creates your Branch Office - leveraging your existing organizational structure
Enables your team to prosper - by inculcating from the start a culture of compliance
Branch Office Supervision
IndieBrokers uses electronic compliance systems to gather required information, to monitor personal and covered securities accounts, and to monitor the communications of your business as such. We are in regular contact, constant if necessary, through phone, email, and on-site visits. IndieBrokers’ professionals work with you and your team to create within your business a culture of regulatory compliance that nurtures representatives and their business success. Your team can operate as a cohesive unit at its own location with its own senior personnel taught and guided by the supervision of senior IndieBrokers management.
Challenge Us with Your Business Lines
Supervision, Expertise, and Guidance
Brokerage Operations and Wealth Management
If your business plan involves trading on an agency basis, whether as Wealth Managers or Discount Brokers, in public Equities, Debt, Mutual Fund, and U.S. or Sovereign Government Securities, IndieBrokers can provide the clearing and trading services, and the supervisory knowledge and oversight to get your team up and running.
Private Placement Marketing, Private Equity, and Alternative Investments
Exempt Securities Offerings — exempt from registration under federal securities laws — are an important source of corporate capital. IndieBrokers assists you and your team to engage issuers and clients, conduct due diligence, assess investors and counterparties, review, revise, or create marketing material, and to effect investments into corporate entities or pooled investment vehicles.
In this new world of General Solicitation as it relates to the sale of exempt offerings, IndieBrokers can be your guide and broker-dealer of record with the supervision you need to accomplish successful General Solicited Offerings.
Corporate Finance
Corporate Finance involves a number of regulated broker dealer activities, including advising companies on corporate structure; management; governance; and business practices; capital structure; corporate sales, mergers, and acquisitions. IndieBrokers professionals can work with your team to create the culture of compliance within which your team can operate your investment banking business.
Creating a Culture of Compliance
Representative Registrations
Representative Attestations, Disclosures, and Certifications
Communications and Marketing Supervision
Business and Personal Conduct Supervision
Branch Office Supervisory Obligations and Inspections
Sales Practice Supervision
Client Issuer, Customer, and Investor Due Diligence
Commission Sharing and Revenue Distribution