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About

In a world rife with financial opportunity and volatility, Tobin & Company provides a comforting combination of knowledge, experience, confidence.

Services

Tobin & Company specializes is a variety of investment banking services that meet the needs of our growing clientele, adapting as changes in financial regulations occur.

Industries

Beyond our knowledge and experience in investment banking, our clients appreciate that Tobin & Company has broad and deep knowledge of their specific business sectors.

Resources

In a world rife with financial opportunity and volatility, Tobin & Company provides a comforting combination of knowledge, experience, confidence.

Chaperoning International Broker-Dealers

With years of experience successfully managing broker-dealers in the United States, it is a natural extension for Tobin & Company to expand managing broker-dealers services internationally. For those who desire to participate in the wealth and financial resources of investors in the United States, we offer an open invitation to contact us if they have interest in coordinating operations in the United States. This chaperoning service is designed to enable international broker-dealers to gain easier access to investment in the U.S. Tobin & Company has the knowledge, expertise and professionalism It takes to help international broker-dealers be successful in the America.

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.

Chaperoning Broker-Dealer Agreements

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

Due Diligence

We conduct an investigation and perform due diligence and analysis with respect to the business and operations of the issuer. We document these for our own files as well as for the soliciting broker-dealers and for our regulators.

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 and federal securities laws, where applicable, and that all filings that are required by regulators are completed and filed.

Call TOBIN Now

TOBIN offers an open invitation to international broker-dealers to contact us if they have interest in coordinating operations in the United States. This chaperoning service is designed to enable international broker-dealers to gain easier access to investment in the U.S.

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.

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Download Our In-Depth Guide on Due Diligence