Investment Banking

Pasadena, CA


Managing Broker-Dealer

Laguna Niguel, CA


Wholesale Distribution of Securities

Two of the most difficult aspects of entering the broker-dealer marketplace as a new investment product sponsor are finding the right team and working within a reasonable budget for wholesale distribution of securities. 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.

Our modular managing broker-dealer approach provides investment product sponsors with a myriad of services which can be chosen based on their specific needs. We are fully integrated with services in product development, due diligence, project management, national accounts, compliance, operations, investor communications, marketing and branding, and wholesaler education and training.

As your managing broker-dealer, we provide services from your first proposal through completed private placement memorandum; working with attorneys, accounting team, due diligence and marketing to insure that you have the right product for the marketplace.

Creation and organization of the due diligence process including analytics, industry trends and document completion. Having relationships with industry leaders means we understand the process and the people. Having the right report for your product can make the difference in product acceptance.

One of the most difficult aspect of product launch for investment product sponsors is national accounts. As your managing broker-dealer, we begin with the due diligence stage and work throughout the life of the program, not just the offering period. Having rapport with key decision makers in the independent broker dealer community provides a level of trust and interest in your product, opening doors that may not otherwise be available.

Whether you are a new investment product sponsor and need everything starting from initial branding to kick off campaigns and full product presentations, or a long time investment product sponsor and just an updated material review, as your managing broker-dealer we can work with your marketing team to provide information that, while compliant with industry guidelines, still delivers your message.

Our team members are well known in the alternative investments marketplace and are frequent speakers and contributors. We can provide expertise at an industry level and represent you and your organization at key industry events. We can also help your executives prepare for participation at industry conferences for maximum impact.

For investment product sponsors, effective communication is critical to maintaining client relationships. Clear and timely communication with your investors leads to pleased (and repeat) clients. As your managing broker-dealer, we can implement an ongoing communication program for your investors.

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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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