FINRA Broker Dealers
Regulation D Resources provides its clients with detailed listings on over 41 FINRA registered broker dealers that handle the sale of Regulation D Offerings to investors. The listings are comprehensive, containing such information as: address, phone numbers, executive management and their positions, corporate finance contact person, number of registered representatives, Firm ID #, clearing firm, DTC #, association and exchange memberships, and areas of interest (private placements, IPO's, secondary financings, etc.)
Following is an example of the information available on each firm (the information in this example listing is fictitious):
| Company: |
|
| Address: |
1830 Park Avenue, Suite 800, New York, NY 10005 |
| Telephone: |
(212) 123-0000 |
| Principals: |
Walter Brous, Chairman; William Faulk, President; David Walters, Executive VP |
| Corporate Finance: |
Jeffrey Roth |
| Registered Reps: |
110 |
| NASD Firm ID: |
1507 |
| Clearing Firm: |
JP Morgan Chase |
| DTC #: |
723 |
| Assoc. & Exchange Memberships: |
NYSE, SIPC, MSRB |
| Active In: |
Private placements, IPO's, secondary financings, fixed income |
|
