Are you an attorney? Click here.

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.

Experience

Tobin & Company has 39 years of investment banking experience, including 24 years in Charlotte’s financial sector and prior engagements with top Wall Street firms.

Resources

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

Managing Broker-Dealer Operations

Worry-Free Compliance Facilitates Offerings

Tobin & Company Securities LLC offers exacting managing broker-dealer services for your private placement offerings. If your company is issuing securities without the assistance of a licensed finder, you may need the services of a Managing Broker-Dealer. A Managing Broker-Dealer helps you comply with all federal and state securities laws, even if you source investors and capital on your own. Our supervision provides a safe harbor to issuers and their employees who raise capital who may be in conflict with Section 3(a)(4) of the Securities Exchange Act of 1934.

Play Video

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:

Do you need Soliciting Broker Dealer Services?

Why Details Matter with Private Placements

One of our clients recently asked us to create a presentation for their company about how marketing and private placements are inextricably intertwined. Private placements have lots of rules surrounding them. How do marketing departments co-exist with those rules in the world of securities offerings? Our answers are in the presentation below.

I hope you enjoy it. And let us know if you’d like me to present this to YOUR organization.

Warm regards,

Justine

TOBIN Tutorials

Part Two: 13 Benefits of Hiring a Managing Broker-Dealer to Supervise your Private Capital Raises

The First Six Benefits of Hiring a Managing Broker-Dealer to Supervise Your Private Capital Raises

New SEC Rules Signal Greater Transparency for $20 Trillion Industry

Raising Private Capital?
Regulation D Offer Options

SEC Rule 3a4-1 Causes the Most
Anxiety and Risk

Compliance With Confidence

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.

Securities offered through Tobin & Company Securities LLC | Member FINRA/SIPC | Business Continuity

Check us out at FINRA’s BrokerCheck

Customer Relationship Summary (Form CRS)

Tobin & Company Investment Banking Group LLC provides a range of investment banking services to the lower middle market. Tobin & Company prides itself on offering a refreshing approach to investment banking with our collegial atmosphere that allows us to connect on a personal level with business owners, entrepreneurs and their investors.

About

Services

Industries

Experience

Resources

Managing Broker-Dealer Operations

Worry-Free Compliance Facilitates Offerings

In our role as Managing Broker-Dealer

Due Diligence

Offering Materials

Broker-Dealer Agreements

Documentation

Compliance

Do you need Soliciting Broker Dealer Services?

Why Details Matter with Private Placements

TOBIN Tutorials

Service for any Challenge

Contact Us

Do you have brokers who need to be supervised but your Managing Broker Dealer won’t do it? Ask us about our Soliciting Broker Dealer Services. We will happily work with your MBD.

Subscribe To Our Newsletter

Download Our In-Depth Guide on Due Diligence