For Brokers, Registered Reps & OSJs
The independent platform for
specialized professionals.
Liberty Associates, Inc. provides the institutional infrastructure and regulatory oversight required for experienced financial practitioners to thrive independently.
Compliance
Uncompromising institutional standards.
Our compliance framework is built on four decades of FINRA and SEC alignment. We handle the regulatory complexity so affiliated reps can focus on execution.
- In-house principal coverage across Series 24, 27, 53, 79, and 99.
- Formal deal review, rigorous due diligence, and marketing review processes.
- Senior Compliance Officer with twelve years of prior tenure as a Principal Risk Monitoring Analyst at FINRA.
- Centralized supervisory structure with documented written supervisory procedures.
Economics
Aligned compensation structures.
Affiliated-rep compensation arrangements are structured to reward production while protecting the firm's compliance standards.
- Production-aligned payouts reviewed individually with each candidate.
- Transparent expense and platform fee structure.
- No undisclosed routing or proprietary product mandates.
- Terms scoped to the practice's size, focus, and client base.
Network
Extend your institutional reach.
Active commission-sharing and revenue-sharing relationships extend the reach of affiliated reps across institutional distribution and capital markets.
- Capital markets and investment banking access via Maxim Group LLC.
- Non-exclusive revenue-sharing with Acrisure Re Corporate Advisory & Solutions, LLC.
- Syndication and commission-sharing with Profor Advisors, LLC.
- Scalable distribution channels for alternative investment placement.
Join Liberty
Ready to join Liberty?
Reach out to begin a confidential conversation about transitioning your practice to our platform.