Investment Banking

Pasadena, CA

626.432.7000

Managing Broker-Dealer

Laguna Niguel, CA

949.249.9500

JCC Capital Markets LLC Managing Broker Dealer Winning Team
Tuesday, Mar. 6th 2018

Creating the Right Team – Working with a Managing Broker-Dealer

JCC Capital Markets, LLC is a leader in managing broker-dealer services. We provide quality investment opportunities to the financial planning marketplace. As a disciplined managing broker-dealer, we have the proven ability to find exceptional product sponsors and provide the necessary expertise and guidance to craft investment structures that deliver transparency, investor protections, industry leading innovations and solid investment strategies.

Two of the most difficult aspects of entering the independent broker-deal and RIA marketplace as a new investment product sponsor are finding the right team and working within a reasonable budget for wholesale distribution of securities. This can be a daunting task. By outsourcing to an external managing broker-dealer, investment product sponsors have the ability to partner with an experienced, proven team with expertise focused on the investment products market for a reasonable cost. The JCC Capital Markets team of knowledgeable professionals provides decades of expertise of successfully bringing investment product sponsors to wholesale distribution of securities and a successful conclusion.

We bring a team. Our modular managing broker-dealer approach provides our investment product sponsor clients with many different services which can be chosen based on their specific needs. We are fully integrated, with expertise in product development, due diligence, project management, analytics, national accounts, compliance, operations, investor communications, marketing and branding, wholesaling, and wholesaler education and training.

This allows our investment sponsor clients to build a relationship that most closely matches their specific needs. By leveraging our resources, our sponsor clients are able to successfully manage their own team to maximize efficiencies; using internal resources where the excel and outsource areas where they need help.

Together, we provide the services you need to help you bring quality investment products to the independent broker-dealer and RIA marketplace.

Contact JCC Capital Markets, LLC for more information about how we can help you.




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JCC Capital Markets
30012 Ivy Glenn Drive, Suite 180A
Laguna Niguel, CA 92677

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  • (888) 249-1038

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About Us

Built on a solid foundation of investment banking and management consulting, JCC Capital Markets, LLC has become a leader in managing broker-dealer services, providing quality investment opportunities to the financial planning marketplace. As a managing broker-dealer, we have the proven ability to find exceptional product sponsors and provide the necessary expertise and guidance to craft investment structures that deliver investor protections, industry leading innovations and solid investment strategies.

NO OFFER OR SOLICITATION: The contents of this website: (i) do not constitute an offer of securities or a solicitation of an offer to buy of securities, and (ii) may not be relied upon in making an investment decision related to any investment offering. Investment offerings and investment decisions may only be made on the basis of a confidential offering document. JCC does not warrant the accuracy or completeness of the information contained herein.

Investments in any security are not suitable for all investors. Investments in securities involve a high degree of risk and should only be considered by investors who can withstand the loss of their investment. Prospective investors should carefully review the “Risk Factors” section of any private placement memorandum. Investors should perform their own investigations before considering any investment and consult with their own legal and tax advisors.

Prior performance is not indicative of future results.

Neither the Securities and Exchange Commission nor any state securities regulator has passed on or endorsed the merits of this offering. Any representation to the contrary is unlawful.

Securities transactions made through JCC Capital Markets, LLC. a member of the Financial Industry Regulatory Authority (FINRA). Check the background of this investment professional on FINRA’s BrokerCheck.


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