To learn more about our M&A Broker-Dealer Services Division and Series 79 Sponsorship program, please contact us.  

M&A / Series 79 Sponsorship

M and A broker dealer Series 79 sponsor

Our M&A Broker-Dealer Services Division provides Broker-Dealer/Series 79 Sponsorship to independent Investment Bankers, M&A intermediaries and professional finders. In most cases, starting and maintaining a FINRA broker-dealer for a solo practitioner or small group of Investment Bankers is financially counterproductive. More importantly it consumes a disproportionate share of your most valuable asset. Time. Ashland’s mandate is to become your operating leverage. 

Each situation is unique, as such Ashland collaborates with each affiliate to create a broker-dealer structure that is tailored to their specific business. Whether you are an industry generalist assisting both acquirers and sellers or a FinTech firm working exclusively with Buy Side clients, Ashland can implement a streamlined compliance solution for your practice.

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

  • Coverage under Ashland’s Errors and Omissions Insurance Policy
  • Ability to choose from up to 3 different compensation platforms that allow for subsequent changes between them
  • A flexible broker-dealer relationship that can be terminated at your discretion. Most of our contracts are month to month
  • Access to our Affiliate Network and other relationships, affording the ability to monetize “2nd priority” deals and share best practices
  • Business processes specifically designed to preserve your unique brand
  • Segregated commission accounts available at cost
  • Fairness Opinion Committee
  • Access to public markets via relationship with a well-established institutional trading firm

Ashland Securities, LLC, Member FINRA SIPC, provides registration and sponsorship services exclusively to seasoned Investment Bankers that are capable of both securing and executing their own transactions.