TOBIN Expands Broker-Dealer Services Internationally

Aug 21, 2023

TOBIN new release FINRA

Tobin & Company Securities LLC has announced a new service-line representing broker-dealers from other countries around the world who want to raise capital for their issuer clients by selling securities in the United States. The move means foreign broker-dealers outside the U.S. can access U.S. investment capital and, in turn, institutional U.S. investors can access global investment opportunities, through TOBIN.  In the investment banking and securities industries, the service is referred to as “chaperoning broker-dealer.”

“We’ve provided managing broker-dealer services in the USA for eleven years, so it just makes sense to expand our service offerings internationally,” said TOBIN CEO Justine Tobin. “This means we can now assist our broker-dealer peers around the world by chaperoning their sales processes here in the United States and by helping them to access institutional investors here in the U.S.”

Alternative assets like private equity, private debt, venture capital and real estate, also referred to as private placements, are becoming increasingly popular as investment options for institutional investors.  These securities, offered by business entities, corporations and funds to raise capital for growth and expansion, have grown in popularity because they can provide diversification, higher returns, lower volatility and access to unconventional investment opportunities.  Institutional investors are increasingly seeking new types of investment opportunities to improve their returns beyond those of the conventional markets and investing internationally expands those investment opportunities.

Raising private capital fuels economic growth and provides alternate sources of funding for companies that want to grow, especially in light the recent pull-back of traditional bank financing. Private placements can provide investors the potential to earn higher returns on their capital, but also comes with potentially higher risk.

“TOBIN is offering an open invitation to international broker-dealers to call us if they have interest in coordinating operations in the United States.  We have a great solution and are easy to work with,” Tobin said.

After a months-long process, Tobin & Company Securities LLC was notified by the Federal Industry Regulatory Authority (FINRA) that the firm had been approved to chaperone foreign broker-dealers pursuant to Rule 15a-6 in private placements of securities and mergers and acquisitions advisory services.

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