Investment Banking

Pasadena, CA


Managing Broker-Dealer

Laguna Niguel, CA


Private Placements & Reg A Offerings

Private placements and Reg A offerings provide investment opportunities in companies not available to the general public. Companies seeking capital find private placements and Reg A offerings can provide an efficient capital source. As a managing broker-dealer we are in the position to match strong potential companies for investment with investors seeking alternatives to create increased diversification within their overall portfolio.

JCC Capital Markets, as a managing broker-dealer seeks to provide a stable of well positioned companies available for investment. Becoming an investment product sponsor member of our platform involves a rigorous vetting process, oftentimes with significant input from us on the structure of the offering including investor safeguards and transparency measures. 

Private Placements

Private placements, or Reg D offerings are available exclusively to high net worth individuals (accredited investors) and oftentimes have higher minimum investment requirements as well. Reg D offerings are exempt from the public filing registration requirements with the Securities and Exchange Commission and can be a more cost-effective means for raising capital vs. a public offering. 

Reg A Offerings

JCC Capital Markets has been on the forefront of bringing Reg A offerings to market. Recent changes to Reg A have made this vehicle for raising capital more attractive to investment product sponsors of alternative investments. The rules are still complex and sometimes difficult to navigate and it is important to work with a managing broker-dealer with expertise in this area to enter this marketplace. 

Reg A offerings are limited to no more than $50 million in capital raise in a given year. Reg A Offerings are available to a broader investment audience as the requirement for investment is that the investment size be limited to no greater than 10% of the investor’s net worth or 10% of their annual income, whichever is greater. Reg A offerings must still file documents with the SEC, but the regulatory burden and associated costs are significantly less than a fully registered public offering.

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

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  • (949) 485-1209
  • (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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