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RETAIL BROKER DEALERS

Retail brokerage firms who do not have in-house investment banking capabilities can refer investment banking prospects and leads to Mid-Market Securities. The firms and their brokers and financial consultants can thus provide additional services to their retail clients and capture a new and potentially very significant revenue stream. Mid-Market Securities’ investment bankers are seasoned professionals with large firm experience and expertise, and domestic and international processing capabilities (rare among middle market firms).

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Mid-Market Securities does not compete with retail brokerage firms, as Mid-Market Securities does not conduct any retail business or hold customer accounts. All contacts with Referrals will be pre-cleared with the Referring Retail Brokers / Financial Consultants, who will participate at whatever level they desire and will be kept thoroughly informed every step of the way.

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SERVICES TO CLIENT:

Mid-Market Securities provides a full range of services from strategic analyses of suitable alternatives and initiation of Transactions through structuring, negotiation, financing, closing and post-transaction assimilation and integration. Mid-Market Securities’ services include Mergers & Acquisitions, Sales and Divestitures, and Buyside Advisory & Financing; Private Placements, Project Finance and Venture Capital Financing; Corporate Reorganization, Restructuring & Recapitalization; Joint Ventures, Strategic Relationships, Licensing and Royalty transactions; Valuation Analyses, Fairness Opinions and Expert Witness Testimony; and General Financial Advisory & Consulting Services, for public and private companies in the US and internationally.

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BENEFITS FOR RETAIL BROKERAGE FIRMS AND INDIVIDUAL BROKERS AND FINANCIAL CONSULTANTS

  • Enhance their ability to attract and retain Clients.

  • Offer more services to their Clients, improving their ability to compete with more full-service firms.

  • Increase their revenues through participation in revenues generated from referrals.

  • Increase assets under management as Clients invest the proceeds of transactions and/or their underlying business and personal net worth grows.

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