Managing Broker Services

Tobin & Company Securities LLC offers a securities licensing platform for individuals who provide M&A and private placement services and execute transactions. We bring big firm expertise, integrity, skill sets and professionalism to registered representatives who demand quality of service in order to best serve their clients. We empower our representatives and support financial professionals looking for alternatives to larger banks.

Experience:
Justine Tobin personally serves as the Firm’s Chief Compliance Officer and manages the Firm’s compliance. The Firm’s compliance is not outsourced; it is managed internally with the sharpest degree of professionalism and the utmost attention to detail. Justine holds six securities licenses, including the Series 7, Series 79, as well as the Series 28 which enables her to act as the Financial and Operations Principal (FinOp) of the Firm.

Culture:
Tobin & Company offers a culture of camaraderie. We provide a congenial atmosphere that is entrepreneurial and supportive. We enjoy connecting with all of our representatives on a personal level. We are dedicated to partnering with independent “kiosk bankers” and securities professionals who don’t want to pay for unneeded in-house resources of larger trading firms.

We pride ourselves on always being available to assist you and all of our representatives with your client and transaction needs. We work hard to help you complete your transactions. We are also able to provide you with supplemental staffing to meeting your execution needs.

We will hold you accountable for your benefit. Our compliance program is thorough, but friendly. We have created it from scratch to make it about you and your clients. Not us.