Services
Nine lines of business.
Two additional capabilities.
Drawn directly from Liberty Associates, Inc.'s public FINRA BrokerCheck record (CRD# 15071) — every capability the firm is authorized to provide.
Liberty Associates, Inc. is authorized by FINRA to conduct nine standard lines of securities business, plus a finder and commission-sharing practice reported under FINRA's “Other” category, and a separately reported non-securities corporate advisory and consulting practice. Every line below is reproduced from the firm's public BrokerCheck record.
Lines of Business
Lines of business.
OTC Equity Securities
Buying and selling corporate equity securities in over-the-counter markets on behalf of qualified clients.
Learn MoreCorporate Debt Securities
Distribution and trading of corporate bonds and fixed-income instruments.
Learn MoreMutual Fund Distribution
Distribution of mutual fund shares to qualified clients.
Learn MoreVariable Life & Annuities
Distribution of variable life insurance products and variable annuity contracts.
Learn MoreReal Estate Syndication
Broker-dealer services in connection with real estate syndication transactions.
Learn MoreEquity Options
Effecting transactions in equity options and other put-and-call instruments.
Learn MoreLimited Partnerships
Distribution of limited partnership interests and tax-advantaged investments in primary offerings.
Learn MoreListed Securities — Arranged
Arranging transactions in exchange-listed securities through correspondent exchange-member firms.
Learn MorePrivate Placements
Distribution of private securities offerings under applicable Regulation D exemptions to qualified investors.
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Additional Service Capabilities
Two additional capabilities.
Finder & Commission-Sharing
Acting as a finder for publicly listed companies introducing them to institutional investors in debt, equity, and convertible securities distributions on a best-efforts basis; commission-sharing through referral agreements with other broker-dealers.
Learn MoreCorporate Advisory & Consulting
Strategic advisory to private and publicly listed companies on funding, transactions, mergers, and acquisitions. Reported on BrokerCheck as non-securities business.
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Note: Liberty Associates, Inc. does not effect transactions in commodities, commodity futures, or commodity options.
For Brokers, Registered Reps & OSJs
A centralized platform.
Liberty's affiliated-rep platform extends our capabilities to independent producing brokers, registered representatives, and investment bankers — under centralized supervision and governance.
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