Does broker / Dealer registration necessary for Raising Capital for someone else?


Posted July 5th, 2010 by admin 2 Comments »
business broker
puma0808 asked:


A foreign entity has approached my consulting firm in the US to help them raise capital to fund a project in their country. We are a pure consulting firm and not registered as a broker/dealer. Is it necessary to be registered as a broker/dealer if we have to accept that business ?

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Posted in Investing | 2 Comments »

I want to start my own financial services firm, is there a broker/dealer who takes advisors from start-up?


Posted July 14th, 2009 by admin 2 Comments »
business broker
InTrust Corp asked:


Every dealer I call there is a minimum to be with them in trailing commissions, I don’t have a huge book, but I will have other business ventures, and would like to find a broker/dealer with small fees and would allow me to slowly grow my business from the beginning? Any help out there?

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Posted in Small Business | 2 Comments »

what is the normal commission split between a broker and a new financial advisor?


Posted March 2nd, 2009 by admin 1 Comment »
business broker
Arnel T asked:


Currently working as an independent contractor with an independent investment firm splitting 50/50 commission
after the the 20% commission by the main broker/dealer.
Is a 4-year term contract normal in the securities business?

Your response will be very much appreciated.

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Posted in Financial Services | 1 Comment »