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Placement Agent Sponsorship

Placement Agent SponsorshipOur Placement Agent Broker-Dealer Services Division offers Broker-Dealer Sponsorship to independent Placement Agents and Third-Party Marketers. Frequently, starting and maintaining a broker-dealer for an individual or small group of Placement Agents doesn't make financial sense. Most importantly it consumes a disproportionate share of your most valuable asset. Time. Ashland’s mandate is to become your operating leverage. 

Every situation is different, as such Ashland collaborates with each affiliate to create a broker-dealer structure that is tailored to their specific business. Whether you are dedicated to raising money for Long-Short Hedge Funds or specialize in securing commitments for Minority Investment Private Equity Strategies, 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 2 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
  • Access to public markets via relationship with a well-established institutional trading firm

Ashland Securities provides registration and sponsorship services exclusively to experienced Placement Agents and Third-Party Marketers that are capable of both securing and executing their own mandates.