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Dalmore's Services

BD Services Platform

Since 2005, Dalmore has provided a comprehensive suite of support services to experienced investment bankers and institutional placement agents. Our individually tailored services are an efficient and cost-effective solution to your compliance needs.

Compliance Specialists

We professionally handle the demanding, yet indispensable, requirements of FINRA and SEC compliance so that 100% of your efforts can be focused on originating and executing transactions.

Our broker-dealer sponsorship and full suite of compliance tools allow investment bankers the confidence and backing to pursue deals that are seamless and sound from a regulatory perspective.

Tailored Solutions
& Services

Dalmore Group Key Facts

  • Registered in all 50 states and the District of Columbia
  • Registered with the Securities and Exchange Commission and member of FINRA
  • A licensing platform for established middle-market M&A Advisors and Investment Bankers
  • A licensing platform and compliance solution for Issuers seeking to register/compensate wholesalers and placement agents in private placements
  • Experienced, with extensive expertise in the offering, transaction, and settlement of private and other exempt securities, such as offerings under Reg A+, Reg D, Reg CF and Reg S.

Our Services Include:

  • FINRA and SEC compliance
  • Chaperoning services for Foreign Broker-Dealers
  • Registration of captive institutional sales force and wholesaling teams
  • Access to our Affiliate Network and other relationships, affording the ability to monetize “2nd priority” deals and share best practices
  • Turn-key compliance solutions for private funds and the sales personnel and placement agents working for them or with them to raise capital through private placements

Dalmore can act as your broker-dealer sponsor for numerous exams

  • Series 7 – licenses the solicitation, purchase and/or sale of all securities products
  • Series 22 – licenses direct participation programs (real estate, oil and gas, and equipment leasing), limited partnerships, limited liability companies and S corporations
  • Series 24 – licenses the holder to supervise and manage branch activities of a broker-dealer
  • Series 62 – licenses the solicitation and sale of corporate securities
  • Series 63 – licenses the solicitation of securities in particular states
  • Series 79 – licenses advising on and/or facilitating debt and equity offerings, mergers and acquisitions, financial restructuring, asset sales, divestitures or other corporate reorganizations and business combination transactions
  • Series 82 – licenses the solicitation and sale of private placement securities as part of a primary offering

Give Us A Call

929-207-3164

New York Office

1177 6th Ave, 7th Floor
New York, NY 10036

Email Address

[email protected]

Dalmore Group, LLC is a member of FINRA and SIPC
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RESOURCES

finra.org
brokercheck.finra.org
sipc.org

Copyright © 2021 Dalmore Group, LLC. All rights reserved.