What Is Broker-Dealer Sponsorship?
Broker-dealer sponsorship allows independent financial professionals to legally offer and execute securities transactions under a registered FINRA broker-dealer. It is ideal for:
- Placement agents raising capital for funds or private offerings
- Investment bankers executing M&A or capital markets transactions
- Capital raisers who need Series 7 or Series 82 sponsorship
- Foreign broker-dealers, investment banks, and placement agents who require a 15a-6 chaperone to access U.S. investors
Partnering with a broker-dealer sponsor like FINIQ eliminates the need to start your own BD entity and helps you stay compliant with SEC and FINRA regulations.
Why Broker-Dealer Sponsorship Matters
Professionals operating in the private markets must comply with strict U.S. securities laws. Without a sponsoring BD, individuals are exposed to regulatory risk and may not legally conduct activities like capital raising, deal marketing, or transaction execution.
With broker-dealer sponsorship, you gain:
- Licensing oversight for Series 7, Series 82, and more
- Supervised deal execution under a compliant infrastructure
- Access to tools and compliance reviews that meet regulatory standards
- Legal protection through a structured and regulated BD environment
Benefits of Using a Broker-Dealer Sponsor
- Speed to Market: Launch in weeks with no BD registration delay
- Lower Cost: Avoid the high expense of running your own broker-dealer
- Compliance Oversight: Reduce regulatory burden with experienced supervision and reviews
- Operational Infrastructure: Use cloud-based systems for compliance tracking, deal docs, and reporting
What to Look for in a Broker-Dealer Sponsor
When selecting a sponsor, evaluate the firm’s services, platform, and reputation. Consider these key features:
- FINRA and SEC registration
- Series 7, Series 79 and Series 82 sponsorship
- Access to 15a-6 chaperone services
- Integrated CRM and deal-tracking technology
- Support for Form D filings and private placements
FINIQ: A Trusted Partner for Broker-Dealer Sponsorship
FINIQ is a registered FINRA broker-dealer with over $15 billion in transactions and a growing national and global network of over 130 professionals. FINIQ provides comprehensive broker-dealer sponsorship services for:
- Independent investment bankers
- Fundraisers and placement agents
- Cross-border firms seeking U.S. market access
LEARN MORE ABOUT FINIQ Compliance Services
FINIQ offers:
- Series 7, Series 79 and Series 82 sponsorship
- SEC 15a-6 chaperone services
- Cloud-based compliance technology
- Full-service regulatory support
- Access to deal flow and institutional relationships
Close More Deals with FINIQ Broker-Dealer Sponsorship
If you are ready to scale your business and reduce compliance friction, FINIQ offers the infrastructure, expertise, and speed you need to stay focused on revenue-generating activities — and we help drive deal flow to new brokers to accelerate your momentum.
