To learn more about our Interim Broker-Dealer Sponsorship for Investment Bankers and Placement Agents please fill in the form on our contact page. 

Interim Sponsorship

M and A broker dealer Series 79 sponsorOn a select basis Ashland will work with groups that are seeking to form their own broker-dealer and need a regulatory bridge until they obtain FINRA approval. 

Up and above a full-time staff focused on your broker-dealer compliance and regulatory needs, affiliating with Ashland provides the following advantages.

  • Access to our industry relationships such as FINOPs, consultants and law firms
  • Firsthand experience from going through the FINRA New Membership Application process from A-Z
  • Coverage under Ashland’s Errors and Omissions Insurance Policy
  • Business processes specifically designed to preserve your unique brand during the stop-gap period to make an easier client transition upon approval
  • Segregated commission accounts available at cost