Managing Broker Services

Tobin & Company Securities LLC offers exacting managing broker dealer services for private placement offerings. In our role as managing broker dealer, Tobin & Company Securities LLC works closely with the issuer’s management team in the due diligence, document preparation, process management and securities compliance for the offering. Once engaged in the process, Tobin & Company Securities LLC performs the following tasks:

Due Diligence:

We conduct an investigation and perform due diligence and analysis with respect to the business and operations of the issuer.

Offering Materials:

We structure, prepare and/or review financial models and analysis, private placement memoranda, subscription documents, investor questionnaires, organizational documents and other documents pertaining to the securities offering by the issuer.

Broker Dealer Agreements:

We enter into soliciting broker dealer agreements with broker dealers willing and able to market and sell the securities of the issuer.


We assist with the processing of all subscription documents, offering documents and other documents necessary for finalizing the sale of securities of the issuer.


We ensure that our client’s offering complies with state securities laws, where applicable, and that all filings that are required by regulators are completed and filed.

Investor Relations Services:

We provide investor relations services for the issuer on a case-by-case basis.