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.

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

Compliance: 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.