Burch & Co., Inc.
4151 N. Mulberry Drive
Suite 235
Kansas City, MO 64116
816-842-4660

M&A Licensing

M&A Licensing Division

Burch & Company, Inc. is experienced in servicing the M&A space and continues to center our business in this industry. By providing our registered broker/dealer platform, Investment Bankers and M&A Intermediaries may obtain their individual securities licenses under our existing umbrella.

Burch provides experienced M&A professionals the required broker/dealer sponsorship for the Series 79 and 63 examinations.
Our focus in serving the M&A industry has allowed us to fine tune compliance systems and procedures that fit into the M&A professionals’ existing processes.

The Licensing Process

M&A Advisor contacts Burch to discuss terms of relationship, responsibilities, sharing arrangements and fees.
M&A Advisor fills in Burch Questionnaire, which provides us with an understanding of your experience, current and planned activities.
Burch conducts due diligence on Advisor and his/her firm and runs background checks. Burch is able to provide references, upon request.
Each M&A Advisor who is to be licensed executes Independent Contractor Agreement with Burch.
If not already Series 79 and 63 licensed, M&A Advisor studies for examinations.
Burch provides individual all remaining compliance and registration required documents, such a fingerprint cards and Policies & Procedures Manual.
Burch submits the Form U-4 to FINRA on behalf of individual. Individual’s testing window is then opened by FINRA, allowing Advisor to schedule his exam(s) at a local testing facility.
Upon individual passing exams, he/she is qualified to engage in those securities related activities covered by the respective licenses he/she has earned.

For a more detailed understanding of this process, please give us a call or download the LICENSING WITH BURCH – WHITEPAPER.

Our blog contains an abundance of resources regarding not only the licensing process, but also coverage of relative court cases and legal opinions on securities licensing matters.