Britehorn Securities
An independent broker-dealer tailored to your institutional capital raising and M&A needs
We Get Your Business
If you are seeking the perfect broker-dealer to support your investment banking and private placements activities, look no further. Britehorn Securities is a specialized broker-dealer built by investment bankers and placement agents for investment bankers and placement agents. We understand your business at a personal level and focus on providing you with a best-in-class, streamlined compliance solution that is perfectly tailored for your needs.
Smart Compliance for Serious Dealmakers
At Britehorn Securities, we know that investment bankers, placement agents, and institutional funds need a compliance partner who enables dealmaking — not one that slows it down. As seasoned investment bankers ourselves, we understand the balance between regulatory rigor and operational efficiency. That’s why our broker-dealer and compliance platform is purpose-built for institutional professionals. Unlike retail-focused broker-dealers, we’ve eliminated the excess layers of oversight and irrelevant requirements that don’t apply to your business. The result: a streamlined, responsive compliance experience that supports your momentum — not your paperwork.
Why Britehorn Securities
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Easy onboarding process that takes less than a week.
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Dedicated compliance manager providing personal, white-glove service.
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Staff who knows you that is always reachable by phone or email; no call centers or impersonal responses.
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Straightforward pricing with bulk discounts and no per-deal or annual commission minimums (depending on plan).
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Britehorn is not a party to your client agreements and doesn't take a percentage of your retainers or monthly work fees (just commissions).
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Quick, seamless transaction compliance with minimal paperwork for you and your clients.
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Contract templates and internal legal counsel on staff for complicated questions and issues.
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We ultimately do the same type of work as you (under Britehorn Partners), so we understand your priorities and concerns and strive to provide the kind of service we ourselves want to have.
Get FINRA-registered with Britehorn,
and we will help you:
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Maintain or take the FINRA exams necessary to conduct your securities-related business (Series 7, Series 82, Series 79, and Series 63).
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Stay abreast and in compliance with the latest rules and regulations specific to your type of business.
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Easily maintain state licensing, continuing education, and other ongoing regulatory requirements.
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Conduct security transactions legally and soundly, with our support in the case of FINRA or SEC oversight.
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Collaborate, if you’d like, with other Britehorn Securities investment bankers, placement agents, and institutional sales personnel.
"We evaluated multiple broker-dealer platforms before selecting Britehorn. They have been excellent to work with for five years, providing complete broker-dealer oversight and support services. They clear our commissions quickly, register us in new states seamlessly, and are very responsive whenever we have questions. Most importantly, they free our time to focus on M&A advisory work."
Tim Dailey,
Peakview Partners, Colorado
"I was both overwhelmed and confused by what appeared to be a very convoluted set of licensing requirements, rules, and gray areas when I was first launching. After considering everything from real estate licenses to buying a broker-dealer — I finally came across Britehorn. After the first call, I knew I was going to go with them. They provided real answers, real support, and were so direct, knowledgeable, and welcoming. I could not be happier with my decision and now can operate with complete peace of mind."
Harry Caruso,
Car Wash Advisory, Florida
“Brett, Natalia, and the Britehorn team were extremely helpful in getting our team registered quickly and efficiently and supporting us in our broker-dealer needs so we could advance our business when we needed it most. They are a pleasure to work, extremely knowledgable about the world of regulations and financial compliance, and great at what they do.”
Team at Environmental Financial Consulting Group (EFCG)
From our blog...
Why an M&A Broker Should Consider FINRA Registration
Many M&A brokers often look to the federal broker exemption as a way to avoid the formalities and costs associated with FINRA registration. However, depending on the nature of the business and the scope of services provided, there could be some serious risks with staying unregistered, and it’s worth considering FINRA registration via a reliable broker-dealer such as Britehorn Securities. Read our blog to find out why.
Please note: as of Regulation Best Interest (Reg BI) 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," including high-net-worth investors (as defined by the SEC). We strictly work with M&A, institutional, and wholesale channels.
