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Broker Dealer Platform

We focus on compliance so that you can focus on your deals

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FINRA Series 79 Sponsorship

Why Register

Comply with federal and state securities laws.

Significantly less expensive than owning and operating your own broker dealer.

Registration onboarding can be completed within a week.

Market yourself as an investment banker instead of a business broker.

Provide a broader suite of services to your clients.

Securities License Sponsorship

For those that are already licensed, Ceiba can sponsor the following categories. For those who need to obtain their licenses, Ceiba can provide assistance for the following exams.

The SIE Exam is a FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry. Exam content may include types of products and their risks, the structure of the securities industry markets, regulatory agencies and their functions, and prohibited practices. The SIE is open to any prospective candidates interested in demonstrating basic industry knowledge and pursuing other Series exams. The SIE is a prerequisite, and association with a firm is not required to take the SIE. Exam results are valid for four years. ​Passing the SIE alone does not qualify an individual for registration with a FINRA member firm or to engage in securities business. To become registered to engage in securities business, an individual must pass the SIE and a qualification exam appropriate for the type of business the individual will engage in. The individual must be associated with a member firm to take a qualification exam.

The Series 7 exam qualifies a candidate to engage in the solicitation, purchase, and/or sale of all securities products, including corporate securities, municipal fund securities, options, direct participation programs, investment company products and variable contracts. Covered activities and products include public offerings and / or private placements of corporate stocks and bonds, rights, warrants, mutual funds, money market funds, UIT, ETFs, REITs, direction participation programs (DPP), venture capital, hedge funds, and options. Candidates must be associated with and sponsored by a FINRA member firm or other applicable self-regulatory organization (SRO) member firm to be eligible to take FINRA representative-level qualification exams.The SIE exam is a corequisite to the Series 7 exam. Candidates must pass both the Series 7 exam and the SIE exam to obtain the General Securities registration.

The exam measures the degree to which each candidate possesses the knowledge needed to perform the critical functions of a principal, including the rules and statutory provisions applicable to the supervisory management of a general securities broker-dealer.

All IIB bankers are required to take the Series 63 as a condition of state registration. This securities license entitles the holder to register in any state.

The Series 79 exam covers activities including advising on and/or facilitating debt and equity offerings, mergers and acquisitions, tender offers, financial restructurings, asset sales, divestitures or other corporate reorganizations, and business combination transactions.
Candidates must be associated with and sponsored by a FINRA member firm or other applicable self-regulatory organization (SRO) member firm to be eligible to take FINRA representative-level qualification exams. The SIE exam is a prerequisite to the Series 79 exam. Candidates must pass both the Series 79 exam and the SIE exam to obtain the Investment Banking registration. To affiliate with IIB, you must already have already passed the SIE.

The Series 82 exam qualifies a candidate for the solicitation and sale of private placement securities products as part of a primary offering. Candidates must be associated with and sponsored by a FINRA member firm or other applicable self-regulatory organization (SRO) member firm to be eligible to take FINRA representative-level qualification exams. The SIE exam is a corequisite to the Series 82 exam. Candidates must pass both the Series 82 exam and the SIE exam to obtain the Private Securities Offerings registration.

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FINRA Broker Dealer Services

Compliance & Supervision

Once registered, Ceiba will provide ongoing compliance with respect to your securities related activities. Our compliance personnel will:

Maintain consistent contact with registered representatives through email and phone in addition to occasional on-site visits.

Assist in helping you keep your U-4  current.

Implement an email archiving and review system.  

Maintain copies of relevant deal documents at Ceiba headquarters.

Review CIMs, Management Presentations, LOIs and Purchase and Sale Agreements.

Provide Continuing Education. 

Implement AML policies and procedures.

Implement our Written Supervisory Procedures (WSP). 

Keep you abreast of any relevant FINRA rules and regulations.

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Why Ceiba

Pricing

Ceiba has one of the most competitive cost structures in the industry. Call us to discuss. We offer fixed and variable cost structures.

Experienced Management

Our management has decades of experience in middle market M&A, cross border transactions, private placements, and compliance for broker dealers.

Speed and Responsiveness

Ceiba is a boutique firm. We don't manage a large volume of Registered Representatives and you will always have a direct line to our CCO.

Secure Data Storage Technology

SEC Rule 17a-4(f) compliant data platform, storage and retention with dual factor authentication protocols in place.

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