Managing Broker-Dealer Services

Sequence Financial Specialists LLC (“Sequence”) is a FINRA registered broker dealer headquartered in Charleston, SC that provides investment banking and advisory services. We provide Managing Broker-Dealer (“MBD”) services for companies looking to raise capital through Regulation A+ and Regulation D private placement offerings.

Why use us as your Managing Broker-Dealer?

  • We manage your transaction
  • We are focused on compliance
  • We provide due diligence
  • We offer access to investors

Manage the Transaction:

Sequence streamlines and simplifies the entire MBD process for the sponsor, assists in the preparation of offering materials with the sponsor’s legal counsel and other professionals while maintaining a master ledger and reconciliation for each transaction. Sequence also helps calculate commission payments due to selling group members at the closing of each transaction, initiates commission payments to each selling group member, and assists each member of the selling group with any forms or filings. After the termination date, Sequence closes the transaction and ensures proceeds are distributed per the offering materials.

Compliance & Due Diligence:

Sequence is guided by the regulatory policies and procedures provided by FINRA and the SEC, and compliance with state and federal laws throughout the transaction. We perform due diligence on all broker-dealers and advisors that will participate in the offering. Sequence prides itself on conducting business in a thorough and professional manner.

Access to Investors:

Sequence has many relationships with other broker dealers, wealth advisors, RIA’s, CPA ‘s, and individual investors. Sequence offers a four-pronged process for Companies to be able to access investors for projects.

If you are a Sponsor and desire Sequence to consider managing the sale of your transaction, please contact us.

If you are a broker-dealer with interest in joining the Sequence selling group for one of our current offerings, please contact us.