3 Reasons to Work with a Broker Dealer

by | May 29, 2020 | Uncategorized

The world of investment banking can be exciting but it’s also complex with rules and regulations that can make it difficult to manage your client’s securities unless you have the right knowledge. Luckily, there are ways to make sure you always provide your clients with the best financial care. A broker dealer sponsorship can help you navigate every step of the financial world, from the FINRA licensing exams to working with your clients to make sure their needs are met. There are many benefits to working with a broker dealer, even as an independent investment banker; consider some of these benefits when deciding if a broker dealer sponsorship is right for you.

The Importance of a Broker Dealer Sponsorship

A certified broker dealer can help you reach the next step in your registration to achieve the top tier in investment banking. A series 79 sponsorship or series 82 sponsorship can help you gather the tools you need based on your specific business model. Broker dealers work with independent investment bankers to help them focus all of their energy on the client’s needs and investments.

When Does a Broker Dealer Sponsorship Come in Handy?

The majority of small businesses are in debt – nearly 70% struggle with financial security. Investment bankers are essential in helping their clients focus their assets in ways that can help their company grow. Before a banker can help, however, they have to pass FINRA licensing exams and earn their investment banking license. This can be difficult for independent investment bankers. However, a broker dealer sponsorship lets you earn your registration and work under a secure system without having to change too much of your internal structure or business model.

How to Work with a Broker Dealer

You’ve worked hard for your company and your independence. Working with a broker dealer lets you keep your brand and all non-security related business. For securities-related business, a broker dealer can help you navigate the rules and regulations to which you are subject under your FINRA investment banking license. All you have to do is pass your examinations and we’ll help with the rest with minimal disruption to your company. Ready to get started? Contact us about becoming an associate today.