Capital Markets
Strategic execution.
Disciplined diligence.
Capital markets advisory and execution for issuers and qualified investors — anchored by four decades of continuous FINRA membership and supervised end-to-end by Liberty's registered principals.
- Since
- 1984
- Model
- Non-Carrying
- Placement
- Best-Efforts
- Supervision
- In-House Principals
Overview
A relationship-driven, non-carrying platform.
Liberty Associates, Inc.'s capital markets practice provides strategic advisory and execution for issuers, institutional investors, and qualified accredited investors. We are a non-carrying broker-dealer with a relationship-driven platform.
Liberty has operated continuously as a FINRA-member broker-dealer since 1984. Our senior team holds active FINRA principal designations across general securities, financial operations, options, and municipal securities.
Method
How we operate.
Relationship-first origination
Engagements begin with a substantive understanding of the issuer, investor, or counterparty. We do not pursue transactions outside of established relationships or appropriate intermediation.
Centralized supervision
Every capital markets engagement is reviewed and supervised by Liberty's registered principals. Documented written supervisory procedures govern review, allocation, and conflicts management.
Disciplined diligence
Diligence on the issuer, the structure, the disclosure, and the investor universe is conducted before any marketing or solicitation begins. Findings are documented and reviewed at the principal level.
Compliance-reviewed marketing
Every investor-facing communication — pitch decks, term sheets, offering memoranda — is reviewed under FINRA Rule 2210 and Liberty's WSPs prior to distribution.
Capabilities
What this includes.
Execution
- Capital markets advisory
- Best-efforts placement of equity and debt securities
- Finder introductions to institutional investors
- Convertible and structured securities distribution
- Strategic syndication coordination
Advisory
- Corporate advisory on funding and capital structure
- Transaction structuring and process management
- Diligence and disclosure review
- Regulatory exemption analysis and documentation
- Post-close compliance follow-up (Form D, blue-sky filings)
Regulatory Posture
Liberty Associates, Inc. conducts its capital markets activity under applicable SEC and FINRA rules, including private offering exemptions under Regulation D. Liberty does not engage in principal underwriting — all placement activity is conducted on a best-efforts basis. Liberty does not hold customer funds or securities. Public regulatory information is available at FINRA BrokerCheck (CRD# 15071).