Services

Blog

What do we do? What don’t we do?

If you are seeking a broker-dealer platform that is approved to conduct business in M&A Advisory and private placements with a compliance team in place that knows your space and appreciates how important your boutique business and its branding are, we may be a nice match. In a nutshell, we’ve built our processes around your processes. By keeping our broker dealer entity in good standing, we offer just that – a FINRA member firm able to sponsor your exams, affiliate your staff by registering them with our firm and ultimately providing a dedicated compliance partnership. Groups that join Burch may:

  • Seek a Series 79 sponsor;
  • Leave a large investment bank to form a boutique shop offering Series 79 investment banking services;
  • Perform Series 79 Broker-Dealer activities such as middle-market M&A sell and buy side advisory;
  • Perform Series 79 Broker-Dealer activities such as structuring private deals;
  • Perform Series 7 or Series 82 Broker-Dealer activities such as selling offerings privately to institutional investors;
  • Perform Series 7, Series 22, Series 82 or Series 62 activities such as serving as wholesaler for private fund raising

To summarize, we don’t do retail, we don’t have a trade desk, and we don’t smile and dial. We do believe in customization, understand the M&A and institutional capital-raising process and will never treat you like a retail representative.

Request our Securities Licensing Whitepaper to learn more.

Registration

Are you ready to leave a large investment bank and form your own boutique advisory firm? Licensing with Burch makes such a move simple. You are not alone if you no longer need a bulge bracket or regional firm’s name behind you to sign on clients. If you’re ready to go on your own but don’t want to take on the role of Chief Compliance Officer, give us a call.

Alternatively, if you are looking for a broker-dealer to register your captive institutional sales force or wholesaling team, we may be just the right broker-dealer for you. We have experience servicing funds and private equity in ensuring their selling teams are properly registered to get the job done.

Finally, going through the application process to become your own FINRA member, but not willing to hit pause on your actual business during the process? We are here for you. Short term relationships are okay with Burch.

Compliance

Our business model is simple: we are a non-producing compliance team. We know the M&A process; we know how institutional deals are run. We like being behind the scenes and keeping the broker-dealer in good standing. This means keeping up to date with regulatory trends and focuses while keeping you abreast of the routine and ever-changing requirements.  We try to fit firm processes into your existing business practices quietly and effectively so that you are able to do things right from a compliance perspective. Don’t take your eye off the prize. Let us serve as your broker-dealer partner – your compliance department down the hall.

Licensing

Affiliating with Burch allows you to schedule and take the FINRA and state exams necessary to conduct your securities-related business. Holding proper licenses ensure that the full scope of services or transaction structures that may best suit your clients are lawfully offered and performed. Why risk the integrity of your services or limit what you do when you can license with Burch? Burch can act as your broker-dealer sponsor for the following exams:

Series 7 – licenses you for the solicitation, purchase and/or sale of all securities products;

Series 79 – licenses you to advise on and/or facilitate debt and equity offerings, mergers and acquisitions, financial restructuring, asset sales, divestitures or other corporate reorganizations and business combination transactions;

Series 82 – licenses you for the solicitation and sale of private placement securities as part of a primary offering;

Series 62 – licenses you for the solicitation and sale of corporate securities;

Series 22 – licenses you for direct participation programs (real estate, oil and gas, and equipment leasing), limited partnerships, limited liability companies and S corporations

See more at FINRA’s webpage on Permitted Activities Registered Representatives

Licensing Whitepaper

add

Latest Blog Posts

Series 79 Sponsorship / M&A Licensing

As an independent broker-dealer, Burch & Company receives inquiries from professionals who speci

read more

Private Equity Regulatory Compliance

The Wall Street Journal recently published an article written by Norm Champ, An Iniquitous Raid on P

read more

Minimizing Merger & Acquisition Advisors Compliance Risk

One of the most important events that occurs in the life of a business owner is when they have reach

read more