Are you an experienced middle-market intermediary considering getting your securities license? If so, there are currently two routes you may take: One is to form your own broker/dealer. The second is to register under an existing broker/dealer. Here, I will speak on the latter. Burch & Company, Inc. is an broker/dealer whose membership agreement with FINRA allows us to provide financial advisory services for sell-side and buy-side mergers and acquisitions. Thereby, we may register M&A professions as Independent Contractors under our existing broker/dealer platform. Once these individuals become qualifed (meaning they pass all required exams), they may then be in compliance when assisting their clients in transactions that have any securities components - stock, debt, notes, etc. To learn about this process, step by step, take a look at the attached white paper. The document discusses not only the initial licensing process, but also ongoing regulatory requirements you should expect as a registered individual and estimated costs (any references to the Series 62 or Series 7 in the following linked document should be replaced with the Series 79, as the prior are no longer sufficient for Investment Banking Activities). Please feel free to contact me with any questions. Download Securities Licensing White Paper
