Registered Representatives Program

Empowering Professionalism With Confidence

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

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 six 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 hold the Series 24, 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 meeting 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.

CASE STUDY

Investment Banking Experience, Blended with Compliance Skill, Strikes the Right Balance

(At Tobin & Company we take seriously our responsibility to protect the privacy of Registered Representatives operating under our compliance supervision. As a result, we do not publish names, contact information, or lists, of the Registered Representatives we work with. In keeping with this policy, names have been omitted from this case history. If you are seeking sponsorship by Tobin & Company for financial compliance we can provide contact information from our clients who have granted permission for us to use them as references. Just call 704-334-2772.)

Situation

Throughout a Registered Representative’s career, knowledge and experience evolves. Often along with it, their view of what makes an “ideal” compliance officer, also evolves. After a few years with a top tier financial institution, one Tobin & Company’s current registered representatives had seen a broad swath of financial transactions go smoothly . . . and some not so smoothly. So, when he decided to join his family’s 30-year old financial Firm focusing on business sales, capital raises and acquisitions, he thought he knew what he was looking for in a broker-dealer and its compliance officer. Initially he hired a Broker-Dealer Firm led by a former FINRA auditor who knew the regulations chapter and verse.

Soon he came to understand that knowing the regulations and procedures didn’t help much if they didn’t know the investment banking business. The problem then, was where to find that needle in a very big haystack.

Solution

That’s when he turned to an investment banker he’d known for several years and had talked with periodically at professional meetings. He dug her business card out of an avalanche of business cards and called.

“I was looking for two things,” he says about that meeting. “Number one was, did she check the boxes in terms of FINRA requirements and broker-dealer licensure. And number two, did she understand the nuts and bolts of my business.”

When Registered Representatives seek out a broker-dealer to hold their FINRA licenses, they look for a professional with a broad array of FINRA licenses themselves, including the Series 7, 79, 24 and 28. But they also look for a financial professional with an intimate knowledge of the rules and procedures required for compliance, and someone who stays ahead of the regulations. Most of all they look for someone who has their back so they can get down to business without any distractions. As an added requirement, this registered rep wanted an investment banker he could work with. “I really wanted someone who was an investment banker, but more importantly, I wanted someone who understood the complexity my deals.”

Results

After making the decision to work with Justine Tobin, CEO of Tobin & Company, the two have been working together now for four years, and despite securities being only a portion of his business, he appreciates Justine’s knowledge of compliance and the investment banking business. Another critical fact governing his decision is that her Firm has never had any FINRA violations, fines or citations.

One specific instance of TOBIN’s compliance style that stands out vividly to him was when he wasn’t sure whether a transaction that he was closing would meet the definition of a securities offering. After evaluation, Tobin & Company’s opinion turned out to be, “No it’s not a security,” but supporting the decision was clearly outlined facts and logic. It meant that TOBIN didn’t make any money this time around, but it was an example of holding integrity above profit, something our client deeply values.

“That was just one instance of her having my back,” he says. “She shoots very straight regardless of what it means to her bottom line. And to be frank that integrity encourages me to work all the harder to get securities in front of her so she can make money.”

“As a compliance officer Justine is certainly an ‘A,’ if not an ‘A+.’ Give her credit, she’s got to be both compliance and customer service and that’s not an easy balance to strike.”

Tobin & Company
Registered Representative

Why contact Tobin & Company?

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.

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.

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