BA Securities is a Broker-Dealer serving a national network of experienced investment banking and private placement professionals. Establishing a licensed Broker-Dealer for an individual or small group of RR's is a capital intensive and time consuming endeavor. If you are capable of independently sourcing and executing your own transactions, we will design a customized Broker-Dealer relationship that takes into account your transaction types, transaction volume, compliance needs, existing overhead and appropriate licensing (Series 7, 79, and/or 82)
Holding the proper FINRA and State licenses is not just required by the regulators, it’s also good business. Affiliating with BA Securities ensures that you will hold the proper licenses and be able to offer your clients the full range of corporate finance and investment banking services.
Series 7 – The most comprehensive securities license, qualifying you for the solicitation, purchase and/or sale of all securities products;
Series 79 – Created to ensure that investment bankers have adequate background and expertise in their practice areas, including advising on debt and equity offerings, mergers and acquisitions, financial restructurings, and other business combinations;
Series 82 – For those involved in the primary offerings of private securities; can supplant the Series 7 if you are exclusively involved in the solicitation or selling of private securities in a primary offering.
BA provides its Affiliates with a full suite of services so that they remain in strict compliance with all applicable rules and regulations. Among the services provided are the following:
Maintaining an anti-money laundering program, including FinCen and OFAC monitoring.
Maintaining appropriate Affiliate registration with both FINRA and individual states.
Conducting office inspections and annual compliance meetings.
Reviewing for approval all engagement agreements, sales literature, advertising and websites.
Reviewing all correspondence, including emails.
Maintaining current written supervisory procedures, business continuity plans and privacy policies.
Monitoring for possible insider trading, outside business activities and private securities transactions.
Preparing the necessary financial regulatory filings and responding to all regulatory inquiries.
Because we are staffed with seasoned professionals, with backgrounds in investment banking as well as compliance, we supervise your operations seamlessly, without creating roadblocks.