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 (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" (as defined by the SEC). We strictly work with M&A, institutional, and wholesale channels.
We provide investment bankers the necessary broker-dealer sponsorship and a full suite of compliance tools to help make their work seamless and sound from a regulatory perspective.
Funds and Placement Agents
We provide a turn-key compliance solution for private funds — and the sales personnel and placement agents working for them or with them — to raise capital through private placements.
As a leading independent broker-dealer, Britehorn Securities offers a highly informed, business-relevant, non-intrusive approach to compliance so you can operate independently and successfully while still meeting all necessary regulatory requirements.
You will have a dedicated, certified Chief Compliance Officer managing all your paperwork, informing you of any regulatory changes, ensuring compliance with SEC and FINRA regulations — and always available to you for any questions or concerns.
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 you’d 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.
- IT Support
- FINRA compliant website design & maintenance
- FINRA compliant email setup & maintenance
- FINRA compliant SEO