Metro Investment Bankers provides Nationwide Financial Advisory and Strategic Investment Banking services with specific regards to Selling a Business, Buying a Business and Capital Raising. Our firm is leading the way in providing Investment Banking Services. You need someone on your side who knows how to accomplish the unthinkable.
Frequently Asked Questions
Is Metro a FINRA Licensed Banker?
Metro’s registered representatives are registered, licensed, and supervised by Penates Group Inc.(“Penates”), a registered broker/dealer and member of FINRA/SIPC. All securities contemplated will be offered through Penates. Metro is not an affiliate of Penates.
Why engage a FINRA Licensed Banker & Perils of using a Non-FINRA Business Broker
Whether you are Selling a Public or Private company, Buying a Company or Raising Capital you should always engage a FINRA licensed individual vs. a non-licensed individual to avoid the perils and liability associated with paying an unlicensed individual. There have been laws enacted that can unwind a completed transaction and the party that paid an unlicensed individual could be liable for damages.
Are all Business Brokers FINRA licensed? No, just because an individual or company portrays that they are business brokers and are operating under proper authority due to having a state Real Estate License still may not provide them with the required license to properly represent a Seller (Public or Private Entity) or a Buyer of a Business in a transaction and be in violation of both Federal and State Securities Laws. This is due to the fact the transaction could be considered a security related transaction in the event of, but not limited to: the sale of company that involves stock (public or private) of the company, financing of the transaction may include security related financing instruments (i.e. mezzanine financing, convertible debt securities, etc.) and the overall transaction structure maybe conducted as a Corporate Stock Sale. This issue can become more complex when the transaction pertains to a Seller in one state and a Buyer in another state. The Securities Exchange Commission(SEC) has prescribed rules that is it illegal to sell securities into a state without complying with that State’s sale of security laws.
Selling or Buying a Company most likely will be one of the biggest investments of your lifetime, don’t make the biggest mistake of your lifetime and use an individual or company to represent you in a transaction that is not FINRA licensed.
FINRA Registration Requirements
An individual must be properly licensed Under the Securities Exchange Act of 1934 to mean “any person engaged in the business of effecting transactions in securities for the account of others.” There also have been laws enacted specifically addressing this issue, which provides for (i) an express right of rescission to any investor who purchases a security from a person or entity that acted as a “broker-dealer” but was not registered; and (ii) the right of the purchaser to sue the unregistered seller for money damages. (2) In 2008, the SEC adopted a new Form D (a private placement), which must include the identities of all brokers and/or finders engaged in the offering of securities of the issuer.
The SEC has cautioned that persons who find investors for issuers, even in a “consultant” capacity, may need to register as a broker depending on a number of factors, including whether (1) the finder participates in the solicitation, negotiation or execution of the transaction, (2) compensation is related to the outcome or size of the transaction, (3) the finder is otherwise engaged in the business of effecting securities transactions and (4) the finder handles securities or funds of others. A “yes” answer to any of these factors indicates that registration may be required.
Sell a Company
Metro Investment Bankers and our capital partners are actively seeking companies to acquire. Most importantly we understand that confidentiality is extremely important as to ensure not to disrupt your business as it relates to your employees, your customers and place an advantage with your competitors knowing your company is on the market. To learn more on our confidential process, our focus on the types of business we are seeking and a free confidential no obligation consultation, contact us today.
Buy a Company
Metro’s buy-side advisory service offers a full turn key solution to our clients. We not only assist you in identifying a potential target acquisition, we also advise you on deal structure and assist in sourcing capital to complete the transaction. Click to be added to our deal flow list.
Raise Capital – Debt and Equity
Our Capital Partners are actively seeking control and non-control investment opportunities for 2018. Metro’s capital market team is managed by licensed Investment Bankers with extensive experience in institutional equity, debt financing, and mezzanine finance for small to medium-sized private and public companies seeking capital in the range of $2M to $500M. We can provide guidance and source capital under many scenarios including but not limited to – you are seeking growth capital to further expand operations to grow organically, make an acquisition, raise capital to fund a management buyout, provide additional liquidity to the company and/or its shareholders, or recapitalize the balance sheet with more affordable capital that aligns with management goals. We are committed to providing unbiased advice and prudent strategies. We look forward to the opportunity in working with you on your company’s financial future.
Experience You Can Trust Your Business With
We guarantee effective and knowledgeable representation for you and your business. Our reputation and history of success with our clients and their business needs speaks for itself. There’s no substitution for the best.
Dedicated and Loyal Advisors
We impart to you an extensive amount of our own proprietary capital in working with complex, important, and often ground-breaking companies. This effort not only attracts the best and brightest financial partners, we also leave behind a much better organization, a more experienced management team and in many respects better planning, forecasting and control disciplines within the organization than were in place before we arrived. We’ve been lucky enough to partner and work with the best of the best in business and continue to be a resource to our past clients.
We Treat You and Your Business with Respect
Whether your business is looking to make an acquisition, divest from your current holdings or need to raise capital, you can rest assured that we’re going to help you. We’re committed to providing you with top notch financial support and knowledge. We approach every client with a focus on integrity, advocacy, understanding and confidentiality.
Whether you are looking to Sell, Buy or Raise Capital for your business now or in the future it is prudent to start the process early. For a Free, No Obligation and Confidential assessment of your business, please contact us today. If you would like to speak to one of our business advisers just submit your details and we’ll be in touch shortly. You can also email us if you would prefer.