Managing Broker Dealer Services

Managing Broker Dealer Services

Advisory Group Equity Services is dedicated to streamlining functions for public and private issuers as well as fund sponsors. Our philosophy revolves around delivering the highest level of service to our clients while calculating the best path forward through the current regulatory and market environments. Core Managing Broker-Dealer Services include trade executing and processing, offering diligence and investor qualification, product distribution and AML and transaction centric regulatory compliance.

AGES Managing Broker-Dealer Services are performed by experienced financial professionals with over 30+ years’ experience leading issuers and sponsors through the entire transaction life cycle. Our expansive network of service providers, syndicate members and investors add value to clients throughout the process of an engagement with AGES.

Managing Broker Dealer Services At a Glance

DILIGENCE

Our team takes a deep dive into our clients’ business strategies and engagements, validating the credibility and sustainability of all offerings.

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DISTRIBUTION

AGES’ comprehensive network of capital providers and syndicate members offers the flexibility to provide solutions regardless of industry or class.

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COMPLIANCE

We place emphasis on running all processes to the highest compliance standards and incorporating new changes within regulatory environment.

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