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.
FINRA-Authorized Lines of Business
Nine standard lines.
- 01
OTC Equity Securities
Buying and selling corporate equity securities in over-the-counter markets on behalf of qualified clients.
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Corporate Debt Securities
Distribution and trading of corporate bonds and fixed-income instruments.
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Mutual Fund Distribution
Distribution of mutual fund shares to qualified clients.
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Variable Life & Annuities
Distribution of variable life insurance products and variable annuity contracts.
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Real Estate Syndication
Broker-dealer services in connection with real estate syndication transactions.
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Equity Options
Effecting transactions in equity options and other put-and-call instruments.
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Limited Partnerships
Distribution of limited partnership interests and tax-advantaged investments in primary offerings.
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Listed Securities — Arranged
Arranging transactions in exchange-listed securities through correspondent exchange-member firms.
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Private Placements
Distribution of private securities offerings under applicable Regulation D exemptions to qualified investors.
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Additional Service Capabilities
Two additional capabilities.
- 10
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 More - 11
Corporate 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.
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