Broker-Dealer Services

Establishing a Broker-Dealer for a small group of investment banking and private placement professionals can be costly and time consuming. For those groups that wish to participate in Broker-Dealer activities, Ewing provides the necessary services and opportunities to these firms for new lines of business.

Broker Dealer Services

Ewing Specializes in the Following Services

Supervision of broker-dealer related licenses

Supervision of broker-dealer related licenses

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Best-in-class compliance team

Best-in-class compliance team

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Independent insurance platform

Independent insurance platform

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Participate in and Manage
Reg D Offerings

Participate in and Manage
Reg D Offerings

Learn More

Dedicated operations team that provides quick and timely service

Dedicated operations team that provides quick and timely service

Learn More

Supervision of broker-dealer related licenses

Supervision of broker-dealer related licenses

Learn More

Best-in-class compliance team

Best-in-class compliance team

Learn More

Independent insurance platform

Independent insurance platform

Learn More

Participate in and Manage
Reg D Offerings

Participate in and Manage
Reg D Offerings

Learn More

Dedicated operations team that provides quick and timely service

Dedicated operations team that provides quick and timely service

Learn More