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Recent Transactions

Florida Broker Dealer 5k Net Capital, licensed to conduct the following lines of business: Broker or Dealer Selling Corporate Equity, Broker or Dealer selling Corporate Debt Securities, Mutual Funds, Municipal Securities Broker, Variable life Insurance and Annuities, Oil and Gas Interests, Put and Call or Option Writer, Tax Shelters, Real Estate Syndicator, Private Placements, Underwriter, licensed in three States.

Highlights

  • Closed in 31 days.
  • Moved Broker Dealer to New York.
  • Changed the CCO and President.
  • Added a new clearing arrangement.

New Jersey Broker Dealer 5k Net Capital, licensed to conduct the following lines of business: Broker or Dealer Selling Corporate Equity, Broker or Dealer selling Corporate Debt Securities, Mutual Funds, Municipal Securities Broker, Variable life Insurance and Annuities, Oil and Gas Interests, Put and Call or Option Writer, licensed in one State.

Highlights

  • Closed in 32 days.
  • Moved Broker Dealer to New York
  • Changed the Financial Operations Principal (Finop Series 27)
  • Changed the CCO and President.
  • Changed the name.
  • Obtained additional licenses in 52 States and territories.

Texas Broker Dealer 5k Net Capital, licensed to conduct the following lines of business: Broker or Dealer Selling Corporate Equity, Broker or Dealer selling Corporate Debt Securities, U.S. Government Securities Broker, NEX, Day Trading, Put and Call or Option Writer, licensed in two States.

Highlights

  • Closed in 33 days.
  • Moved Broker Dealer to New York.
  • Changed the Financial Operations Principal (Finop Series 27).
  • Changed the CCO and President.
  • Changed the name.
  • Obtained additional licenses in 12 States.
  • Applied for the addition of Private Placements, Best Efforts Underwriting and Research.
  • Added 10 Registered Representatives.
  • Added new clearing arrangement.

New Jersey Broker Dealer100k Net Capital licensed to conduct the following lines of business: : Broker or Dealer Selling Corporate Equity, Broker or Dealer selling Corporate Debt Securities, U.S. Government Securities Broker or Dealer, Municipal securities Broker or Dealer, Municipal Securities Underwriter, licensed in one State.

Highlights

  • Closed in 35 days.
  • Moved the Broker Dealer to New York.
  • Changed the Financial Operations Principal (Finop Series 27).
  • Changed the CCO and President.
  • Changed the Name.
  • Added approval for 40 Associated Persons.
  • Obtained additional licenses for 50 States.