Most investment bankers and M&A professionals believe the Series 79 examination is all that’s required by FINRA to become fully registered. That is actually not the case. While the Series 79 is the most talked about, you may need the 79 in addition to other FINRA exams. Some of the many exams that may be required are the Series 7, 62 or 82. We can sponsor you for all required examinations. Please contact us if you would like help assessing exactly which examinations may be required based on your unique business model.
Bridge Capital Associates, Inc. is a broker/dealer specifically established in 2007 to service the registration and compliance needs of investment bankers, M&A advisors and professional finders. New regulations make proper securities licensing more important than ever. Starting and running your own broker/dealer can be time intensive and very expensive. We offer the ability to conduct your securities-related business under our broker/dealer platform with minimal modifications to your existing corporate identity and infrastructure. Our goal is to streamline regulatory compliance to allow our bankers to focus their time and talent on their clients' transactions.
A relationship with Bridge Capital Associates, Inc. means you can keep your existing brand and email address, as well as your existing non-securities related business. For a nominal fee Bridge Capital will run your securities transactions through our broker/dealer and ensure compliance is maintained with FINRA, the SEC and the various state regulators.
Call Carrie Wisniewski at 770-923-9632 or email her at firstname.lastname@example.org for more information.
You can also fill out our online contact form by clicking here.
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