FINRA BROKER -DEALERS

FINRA listed broker-dealer firms have the capability to sell securities from a Regulation D offering to investors. Only certain broker-dealer firms engage in this practice and, in many instances, only deals that meet certain parameters.

Regulation D Resources does not guarantee that any of these brokers will be interested in reviewing your offering nor does Regulation D Resources guarantee that any securities will be sold by these resources. Brokerage interest in a transaction is dependent on numerous factors beyond our control such as: deal size, industry type, business plan strength, management experience, and opportunity risk. You should not rely solely on these resources for sourcing investors.

Broker information and their deal preferences can change rapidly. While we try to maintain an accurate listing there are occasions where a change has occurred (phone number change, address change, deal preference change, etc.) that we have not indexed in our listings. If you encounter a listing where the phone number has changed, or if the brokerage firm has changed its preference for selling Regulation D offerings, please e-mail us so that we may update our records accordingly.

Broker dealers tend to seek transactions over $2-3mm in size. If you have a smaller deal that is very high growth you may find some success with these resources even though the deal size is smaller than normal.

How to Present Your Transaction to a Broker-Dealer firm:

The corporate finance contact is typically the person you need to speak with regarding selling the securities in your private placement. While you can mention that you accessed their contact information through Regulation D Resources this is not a necessary step. We recommend that you introduce yourself and and give a brief statement about your company (ex: “we are a B2B Internet portal for the textile industry and currently have a $2,000,000 services contract in place with XYZ Company and we are looking to raise $1,000,000 with a Regulation D 504 offering that is currently in place……”). Ask if the person has a few minutes to discuss your opportunity.

After discussing your transaction and opportunity you may want to ask if you could forward the PPM to them for review. Obviously the corporate finance person may want to discuss your opportunity more in depth before asking for a copy of the PPM. In short – sell your deal to the corporate finance person just like you would sell your deal to an investor.

Clients may access our broker-dealer community below. All firms are listed by default or you may search for broker-dealer firms by State or by Region.