Managing Broker-Dealer

A managing broker-dealer provides the expertise required for sponsors to bring quality investment opportunities to the financial planning marketplace. JCC Capital Markets, LLC, is a leader in managing broker-dealer services. 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.

Our managing broker-dealer provides service in many areas, including wholesale distribution of securities and regulatory compliance.

Wholesale Distribution of Securities

Our managing broker-dealer provides investment product sponsors with many services that can be chosen based on their needs. These include:

• Product Development – Our managing broker-dealer provides services from idea inception through completed private placement memorandum. They work with the attorneys, accounting team, due diligence, and marketing.
• Due Diligence Liaison – Creation and organization of the due diligence process. The process is complex and easily slowed down.  We understand how to keep your project on track.
• National Accounts – JCC Capital Markets begins product launch while still in the due diligence stage and works with you throughout the life of the product.
• Marketing and Branding – Our managing broker-dealer works with your marketing team to provide information that, while compliant with industry guidelines, still delivers your message.
• Industry Liaison/Spokespersons – We can provide industry level expertise and represent you and your organization at key industry events.
• Investor Relations – We implement strategic, ongoing communication for your investors.

Regulatory Compliance and Operations

Working in the highly regulated securities industry involves complexities completely foreign to  many new investment product sponsors.  As your managing broker-dealer, we provide the framework and structure to successfully navigate the intricacies of our industry.   We efficiently handle all aspects of regulatory and ongoing compliance. These services include:

• Initial Product Compliance – Our managing broker-dealer begins with the initial offering document to ensure that your message and business plan are clearly articulated while providing transparency to potential investors.
• Marketing Material Compliance – Our managing broker-dealer has many years of experience working with the regulators and understands what works and what doesn’t work.
• Personnel and Ongoing Compliance – We provide the services that oversee the very specific rules of the Financial Industry Regulatory Authority (FINRA) to ensure that not just your product, but also your people remain compliant.
• Custodial Relationships – We help establish relationships with clearing firms and qualified account custodians to streamline the purchasing process across multiple platforms.
• Operations – Proper interface with broker-dealer and RIA home offices can be the key to continued success. They look for ease of use and timeliness of payment.  As your managing broker-dealer, we understand how they work and how to best to deliver premium service. 

Together, we provide quality investment opportunities to the financial planning marketplace including investment structures that deliver transparency, investor protections, industry leading innovations and solid investment strategies.