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.