Disclosures
Regulatory & legal information.
Public regulatory information about Liberty Associates, Inc.
Regulatory Documents
Hosted on FINRA BrokerCheck.
Disclosures
The record, on the table.
- 01
About Liberty Associates, Inc.
Liberty Associates, Inc. is an SEC-licensed broker-dealer and a member of FINRA, MSRB, and SIPC. SEC# 8-31505; FINRA CRD# 15071; MSRB ID# A7500. The firm is a New York corporation, incorporated on February 28, 1984. Public regulatory information is available at FINRA BrokerCheck.
- 02
Ownership Disclosure
Liberty Associates, Inc. operates independently and is a separate, independently owned and operated entity. All securities-related activities are conducted exclusively through Liberty Associates, Inc.
- 03
No Offer or Solicitation
The information on this website is provided for informational purposes only and does not constitute an offer to sell or a solicitation of an offer to buy any security or financial instrument. Any securities offerings will be made only pursuant to definitive offering documents and applicable exemptions under federal and state securities laws.
- 04
No Orders or Trading Instructions
Do not transmit trade orders or trading instructions through this website or by email. Communications submitted through these channels will not be reviewed or executed. To place an order or provide instructions, contact a registered representative of Liberty Associates, Inc. directly through approved channels.
- 05
Forward-Looking Statements
This website may contain forward-looking statements, identified by language such as “may,” “will,” “expects,” “plans,” or “future.” Forward-looking statements are subject to risks, uncertainties, and assumptions. Actual results may differ materially.
- 06
Operating Model
Liberty Associates, Inc. operates under a non-carrying broker-dealer model. The firm does not hold customer funds or securities. Where clearing and custody are required for client accounts, those services are arranged through appropriately licensed third-party custodians on a fully disclosed basis.
- 07
FINRA BrokerCheck
Public regulatory information about Liberty Associates, Inc., including ownership, registrations, business activities, disclosure events, and arrangements, is available through FINRA BrokerCheck: https://brokercheck.finra.org/firm/15071
Authorized Lines of Business
The full scope, on the record.
Liberty Associates, Inc. is authorized to conduct nine standard lines of securities business under its FINRA registration, plus two additional capabilities — a finder and commission-sharing practice reported under FINRA's “Other” category, and a separately reported non-securities consulting and corporate advisory practice. The lists below are drawn directly from the firm's public FINRA BrokerCheck record (CRD# 15071).
Nine FINRA-Authorized Lines of Business
- 01Broker or dealer retailing corporate equity securities over-the-counter
Buying and selling corporate equity securities in over-the-counter markets on behalf of clients.
- 02Broker or dealer selling corporate debt securities
Buying and selling corporate debt securities — bonds and other fixed-income instruments — on behalf of clients.
- 03Mutual fund retailer
Distributing mutual fund shares to qualified clients.
- 04Broker or dealer selling variable life insurance or annuities
Distributing variable life insurance products and variable annuity contracts to qualified clients.
- 05Real estate syndicator
Acting as a broker-dealer in connection with real estate syndication transactions.
- 06Put and call broker or dealer or option writer
Effecting transactions in equity options and other put-and-call instruments.
- 07Broker or dealer selling tax shelters or limited partnerships in primary distributions
Distributing limited partnership interests and other tax-advantaged investments in primary offerings to qualified investors.
- 08Non-exchange member arranging for transactions in listed securities by exchange member
Arranging transactions in exchange-listed securities through correspondent exchange-member firms.
- 09Private placements of securities
Distributing private securities offerings under applicable Regulation D exemptions to qualified investors.
Two Additional Service Capabilities
- 10Other — finder and commission-sharing
Acting as finder for publicly listed companies introducing them to institutional investors in connection with distributions of debt, equity, and convertible securities through private transactions and the private placement of such securities on a best-efforts basis. Engaging in commission-sharing relationships with other broker-dealers through referral agreements.
THE FIRM MAKES INTRODUCTIONS AS A FINDER FOR PUBLICLY LISTED COMPANIES TO INSTITUTIONAL INVESTORS IN CONNECTION WITH TRANSACTIONS INCLUDING IN DISTRIBUTING DEBT, EQUITY, AND CONVERTIBLE SECURITIES THROUGH PRIVATE TRANSACTIONS AND THE PRIVATE PLACEMENT OF SUCH SECURITIES ON A BEST EFFORTS BASIS. THE FIRM ENGAGES IN COMMISSION SHARING RELATIONSHIPS WITH OTHER BROKER-DEALERS THROUGH REFERRAL AGREEMENTS.
BrokerCheck source — verbatim
- 11Non-securities consulting and corporate advisory
Performing consulting services and providing corporate advisory to private and publicly listed companies, including advisory services on funding, transactions, mergers, and acquisitions. Reported on BrokerCheck as non-securities business.
THE FIRM PERFORMS CONSULTING SERVICES AND PROVIDES CORPORATE ADVISORY TO PRIVATE AND PUBLICLY LISTED COMPANIES INCLUDING ADVISORY SERVICES ON FUNDING, TRANSACTIONS, MERGERS, AND ACQUISITIONS.
BrokerCheck source — verbatim
Note: Liberty Associates, Inc. does not effect transactions in commodities, commodity futures, or commodity options.
Source: FINRA BrokerCheck → Liberty Associates, Inc. (CRD# 15071). The information above is reproduced from the firm's public FINRA BrokerCheck record. Last verified May 2026.