About Us

broker dealer investment bankingFor experienced M&A Advisors, Investment Bankers, and Placement Agents we provide the broker- dealer infrastructure that helps you to stay compliant with all applicable regulations while at the same time concentrating your efforts on getting deals done. Our understanding of the Investment Banking and Third-Party Marketing arenas allow us to offer a streamlined compliance process that factors in the nuances of your transactions.

All of our business is institutional and as a result we are able to offer a regulatory umbrella that won’t burden you with strictures normally applied to retail brokers. We are registered in all 50 States and the District of Columbia.

Ashland recognizes how important your unique brand and independence are to you, so we do everything possible to preserve that through all phases of the deal cycle.

Since we only work with experienced Investment Bankers and Placement Agents, Ashland can offer a very lean cost structure. We will work hand in hand with you to implement a broker-dealer sponsorship program that is tailored to your business. Whether you are an Investment Banker focused on E-Commerce Sell Side mandates or a Placement Agent specializing in securing L.P. Commitments for Buy-Out Funds, Ashland can design a cutting-edge broker-dealer solution for your practice.

At Ashland Securities we view our independent registered representatives as our clients. We are unconflicted with those we sponsor- None of our staff are engaged in businesses that could be competitive with our affiliate registered representatives.

We can support FINRA broker-dealer sponsorship for Placement Agents and Investment Bankers in the US, UK, Canada and many parts of the EU. Ashland also provides “Chaperoning” services under SEC rule 15a – 6 to foreign broker-dealers seeking access to institutional investors in the U.S.

For Investment Bankers and M&A Advisors please see the  M&A/Series 79 Sponsorship section on the Broker-Dealer Services page of our website.

For Placement Agents and Third-Party Marketers please see the Placement Agent Sponsorship section on the Broker-Dealer Services page of our website.  

For those seeking a temporary solution for their regulatory needs while they form their own broker- dealer, please see the Interim Sponsorship section on the Broker-Dealer Services page of our website.

For foreign financial services firms interested in partnering with Ashland to reach U.S institutional investors, please see the Chaperoning section on the Broker-Dealer Services page of our website. 

For information on which FINRA exams are appropriate to your business, please see the Exam Information section on the Broker-Dealer Services page of our website.