Hello from Charlotte:
Supporting Registered Representatives Nationwide

Hello from ACG Deal Crawl in Charlotte!
We’re writing from the heart of Charlotte, North Carolina, where the city’s skyline glows with the energy of dealmakers, bankers, principals and investors attending this year’s ACG Deal Crawl. The two-day conference has once again gathered middle-market professionals from across the country to connect, collaborate, and explore what’s next in mergers and acquisitions. As an investment bank and broker-dealer in Charlotte NC, we’re proud to call this city home — a true investment banking powerhouse and one of the nation’s largest and fastest-growing financial centers.

Deal Crawl underscores what makes Charlotte special. It’s not just a financial hub; it’s a community where ideas and capital meet — where firms like TOBIN thrive by combining Wall Street execution with Main Street accessibility. We’re here this week meeting with industry colleagues, private equity professionals, and fellow registered representatives who share our commitment to responsible growth and regulatory excellence.

Charlotte: A Financial Capital with Momentum
Charlotte’s rise as a financial capital has been remarkable. Once known primarily as a banking city, it has evolved into a broader center for corporate finance, private equity, and M&A advisory work. The city attracts financial professionals from around the country who appreciate its collaborative culture, access to capital, and deep pool of dealmaking expertise. Tobin & Company –  one of the only woman-owned investment banks and broker-dealers in the United States – has been part of that momentum since 2001, operating as a sell-side M&A firm and a broker-dealer in Charlotte NC licensed in all 50 states, the District of Columbia, Puerto Rico, and the U.S. Virgin Islands.

Our team takes pride in serving as both an investment bank and a platform for registered representatives who conduct M&A and private placement transactions. From our office on the corner of Trade & Tryon, we provide deal support, supervision and compliance for registered reps nationwide — including many right here in Charlotte.

A Platform for the Independent IB Professional
For two decades, our Registered Representatives Program has supported independent professionals who prefer to build their own practice without the overhead or bureaucracy of a large institution. Whether you’re an experienced M&A banker, capital raiser, or securities professional, TOBIN provides the infrastructure, compliance oversight, and expertise you need to conduct your business with confidence.

Unlike many broker dealers, TOBIN’s registered reps are supported directly by me, the founder, with assistance from my teammates, including Judi and Jon.  I also serve as the Chief Compliance Officer of the firm and I bring more than 35 years of investment banking experience to our registered reps and their clients.  We don’t outsource your FINRA compliance – we live it.

Our registered representatives appreciate that we focus on what matters most: empowering them to run their businesses efficiently, profitably and compliantly. TOBIN enforces the rules that need to be enforced, without layering on unnecessary requirements that create friction. That philosophy — pragmatic, experienced, and grounded in deep regulatory knowledge — defines our firm’s culture.

Big-Firm Capability. Boutique Service.
TOBIN combines big-firm expertise with boutique responsiveness. As a retail broker-dealer in Charlotte NC, our platform gives registered representatives access to essential data tools like Inven.ai, PitchBook, IBISWorld, DealStats, and Kroll — resources typically reserved for large institutions. Reps can use these tools for valuation analysis, market research, and transaction support, all backed by the guidance of our seasoned professionals.

For registered representatives who occasionally need help executing or staffing a deal, TOBIN provides flexible access to our investment banking analysts through our internal program. Our analysts are trained to handle financial modeling, due diligence, and documentation, helping registered reps deliver professional-quality work to clients while remaining cost-effective and nimble.

Supporting M&A and Private Capital Transactions
As the conversations at ACG Deal Crawl remind us, today’s deal environment requires adaptability, precision, and trusted partnerships. TOBIN supports a wide range of transaction activity — from sell-side and buy-side M&A to private placements and capital sourcing. Our firm also offers managing broker-dealer and chaperoning services, allowing registered representatives to participate in complex offerings with the assurance of robust oversight and operational support.

TOBIN continues to operate as a full-service broker-dealer in Charlotte NC, not a limited Capital Acquisition Broker (CAB), because we believe in empowering our registered representatives to work across the full spectrum of corporate finance activities. That includes serving both institutional and accredited retail investors. This flexibility allows our representatives to tailor their business to client needs while maintaining full regulatory compliance.

An Entrepreneurial Culture Rooted in Charlotte
TOBIN’s culture reflects the best of Charlotte — professional yet personable, rigorous yet collegial. We believe in camaraderie, accountability, and shared success. Registered representatives who affiliate with TOBIN join a network of high-performing professionals who value independence, integrity, and teamwork.

We take pride in helping each registered representative build their securities business — powered by TOBIN. Whether you’re based in Charlotte or across the country, or even overseas, our team is available to support your growth through responsive communication, hands-on compliance, and best-in-class broker dealer infrastructure.

Integrity, Experience, and Partnership
From our start in 2001, TOBIN & Company has remained fiercely committed to doing business the right way. We pair Wall Street experience with Charlotte’s welcoming professionalism, offering registered representatives a home where they can focus on clients instead of compliance complexity.

As Deal Crawl wraps up, we’re reminded how vital it is to have the right partners in this business — whether in M&A, capital raising, or securities distribution. At TOBIN, we’re proud to be that partner for registered representatives nationwide, combining deep regulatory knowledge, seamless service, and a commitment to excellence that has defined our firm for 25 years.

Join TOBIN’s Registered Representatives Program
If you’re an independent securities professional seeking a broker-dealer home for your FINRA licenses in Charlotte NC – one that delivers unparalleled client service, hands-on compliance, and the freedom to grow your business, we invite you to learn more about TOBIN’s Registered Representatives Program.

To inquire about registration or partnership opportunities, please contact us at 704.334.2772, or drop me an email.