Registered Representatives Program

Facilitating FINRA Compliance With Confidence

Tobin & Company Securities LLC offers a securities licensing platform for individuals who provide M&A and private placement services and who execute securities transactions. We bring Wall Street expertise, native integrity, vast skill sets and inherent professionalism to our registered representatives who demand quality of service in order to best serve their own clients. Tobin & Company empowers our registered representatives and supports financial professionals running their own investment banking practices.

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; rather, it is managed internally with the sharpest degree of professionalism and the utmost attention to detail. Justine holds eight 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. Justine also holds the SIE and the Series 14, 24, 52, 99 and 63.

Culture

Tobin & Company offers a culture of camaraderie for independent investment bankers. 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 with all of 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 meet 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 about us.

Service for any Challenge

Most websites deploy “contact us” and then companies are disappointed when no one does.

Contact Tobin & Company and here’s what you get – we’ll listen. And we will give
you our opinion about whether our services might be a good fit for your needs.

About

Our People

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Services

Managing Broker-Dealer Operations