Managing Broker-Dealer Operations
Worry-Free Compliance Facilitates 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:
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.
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.
We enter into soliciting broker-dealer agreements with brokers and broker-dealers willing and able to market and sell the securities of the issuer.
We assist with the processing of all subscription documents, offering documents and other documents necessary for finalizing the sale of securities of the issuer.
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.
Knowledge, Responsiveness Keys to Building Long-Term Relationships
Roberts Properties had previously exited a 20-year broker-dealer relationship; it held an extensive interview and search process to select a new Managing Broker-Dealer.
Beyond that, there was one for thing the Firm needed; a proven record of building and nurturing strong relationships.
“We’re a very relationship-oriented business so once we get a relationship working it generally becomes long-term,” says Roberts Properties CFO Anthony Shurtz.
After screening a number of investment banking Firms, reducing the number down via conference call interviews, and vetting two finalists, Roberts selected Tobin & Company.
“Justine’s been very effective in her compliance role,” says Shurtz. “She vets the deals and makes sure everyone is properly informed about the details. Investors get approved quickly and she’s done a great job substantiating the accreditation.”
Since engagement, Tobin & Company has reviewed and managed each of Roberts Properties’ equity transactions. The Firm has answered reviews as questions have arisen with the ultimate result that FINRA has had no further comments on any of the offerings.
The bottom line is that Roberts Properties and Tobin & Company are building a long-term relationship, one day at a time.
“With Tobin & Company our Registered Reps maintain their reputation through a company that has never had any violations, fines, or citations for questionable behavior throughout the history of the Firm.”
Eleanor Brewer, Attorney
US Freedom Capital
Why contact Tobin & Company?
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.
Our goal is to get you what you need, when you need it. If there’s a fit – great. If not, we’ve each got a new friend. We don’t want to waste our time any more than you want to waste yours.
So if you need more information – what experience we have, how we’ve handled similar situations in the past, or even pricing information – just call or reply to our “contact us.” You’ll get a response from Justine Tobin, likely within 24 hours.