BrokerTradeEx is a financial marketplace designed to connect issuers, broker-dealers, registered representatives and investment opportunities in one centralized environment.
The premise is straightforward: capital formation becomes more efficient when qualified opportunities can reach multiple broker-dealers and their financial professionals through a common marketplace.
BrokerTradeEx enables participating firms to discover opportunities, review issuer information, access offering materials and determine which transactions may be appropriate for their firms and clients.
Rather than replacing the broker-dealer relationship, BrokerTradeEx is designed to expand its reach.
The marketplace brings together issuers seeking capital, broker-dealers seeking differentiated opportunities, and registered representatives looking for investments they can evaluate for their clients.
Each participating broker-dealer maintains its own due diligence, compliance, suitability and supervisory responsibilities.
BrokerTradeEx
Provides the marketplace.
Broker-dealers
Provide the regulated distribution.
Issuers
Gain broader access to capital formation.
Want to learn more about participating in the marketplace?
Contact us