Britehorn Partners

Top Broker Dealers 2024

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A Leading Independent Broker-Dealer for Investment Bankers and Placement Agents

Smart Compliance for Serious Dealmakers

Britehorn Securities is a specialized broker-dealer built by investment bankers and placement agents for investment bankers and placement agents. We manage all of your compliance and licensing needs, without overwhelming you with extra paperwork. If you are seeking a partner who lets you focus on closing deals, look no further. As M&A and private placement professionals ourselves, we understand your business — and we’re committed to providing you a streamlined, best-of-class compliance platform that best supports it.

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Designed to Keep you Closing, Not Buried In Paperwork

At Britehorn Securities, we know that investment bankers, placement agents, and institutional funds need a compliance partner who enables dealmaking — not one that slows it down. As seasoned investment bankers ourselves, we understand the balance between regulatory rigor and operational efficiency. That’s why our broker-dealer and compliance platform is purpose-built for institutional professionals. Unlike retail-focused broker-dealers, we’ve eliminated the excess layers of oversight and irrelevant requirements that don’t apply to your business. The result: a streamlined, responsive compliance experience that supports your momentum — not your paperwork.

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Why Britehorn Securities

Streamlined processes and rapid turnarounds

Access to an in-house securities attorney for complex questions

Access to investor lists and marketing intelligence platforms

Dedicated compliance manager & personal service

We’re not a party to your engagement agreements or retainers

Truly independent: we don’t jeopardize your referral sources by affiliating with a wealth management platform

No per-deal or annual commission minimums

Health, dental and vision insurance available

Affiliating with Britehorn Securities allows you to:

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Maintain or take the FINRA exams necessary to conduct your securities-related business.

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Stay abreast and in compliance with the latest rules and regulations specific to your type of business.
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Easily maintain state licensing, continuing education, and other ongoing regulatory requirements.
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Conduct security transactions legally and soundly, with our support in the case of FINRA or SEC oversight.
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Collaborate, if you’d like, with other Britehorn Securities investment bankers, placement agents, and institutional sales personnel.

Britehorn Securities Award
“We evaluated multiple broker- dealer platforms before selecting Britehorn. They have been excellent to work with for five years, providing complete broker-dealer oversight and support services. They clear our commissions quickly, register us in new states seamlessly, and are very responsive whenever we have questions. Most importantly, they free our time to focus on M&A advisory work.”

Tim Dailey

Peakview Partners, Colorado

“I was both overwhelmed and confused by what appeared to be a very convoluted set of licensing requirements, rules, and gray areas when I was first launching. After considering everything from real estate licenses to buying a broker-dealer — I finally came across Britehorn. After the first call, I knew I was going to go with them. They provided real answers, real support, and were so direct, knowledgeable, and welcoming. I could not be happier with my decision and now can operate with complete peace of mind.”

Harry Caruso

Car Wash Advisory, New York

Frequently Asked Questions

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Do I need a broker dealer?

Generally, yes, if you are transacting in securities for others or yourself.

Do I need to register with a broker dealer?

Yes, if you are acting as a registered representative and engaging in securities activities.

What licenses do I need for investment banking?

Typically, a Series 79 (Investment Banking Representative) license is required, and often a Series 63 (Uniform Securities Agent State Law Examination) as well. Supervisory roles may require a Series 24.

Do I need to register as an M&A advisor?

If you are advising on mergers and acquisitions and receiving transaction-based compensation, you may need to register as a broker-dealer or be associated with one. There are some exemptions.

Independent broker dealer?

An independent broker-dealer is a firm that operates independently and is not owned by a larger financial institution. Registered representatives can affiliate with them.

Broker dealer to hang my licenses?

Yes, securities licenses are generally associated with a registered broker-dealer. You need to be sponsored by a firm to maintain your licenses.

Why do I need to be registered with FINRA as a business broker?

There are serious limitations to the federal broker exemption (the SEC no-action letter), as well as the more recent Congressional changes. You could protect your business from those limitations, access a broader range of transactions, earn more credibility and trust, and set yourself up for long-term flexibility and growth by becoming FINRA-registered. Learn more here about why M&A brokers should consider FINRA registration.

What licenses do I need to conduct securities work?

All our Representatives must have a Series 7, Series 82, or Series 79 license (although we strongly encourage one of the first two) — as well as a Series 63 or Series 66. We can also sponsor new Reps for any of these exams. We are happy to discuss which exams are right for you and why.

What does Britehorn’s pricing look like?

We have a couple of simple options to choose from, with differently monthly fees and commission splits — and we are always happy to work with large groups and consistent producers by providing custom quotes.