PTX Securities, LLC
PTX Securities, LLC as Managing Broker Dealer specializes in comprehensive sponsor support services. PTX assist sponsors in the design and engineering of marketable products and manages the sponsor’s offering by balancing the needs and requirements of the sponsor, selling group members and regulators while ultimately positioning a product’s qualities for the financial advisor and their retail clients.
PTX Securities, LLC as Managing Broker Dealer specializes in comprehensive sponsor support services. PTX assist sponsors in the design and engineering of marketable products and manages the sponsor’s offering by balancing the needs and requirements of the sponsor, selling group members and regulators while ultimately positioning a product’s qualities for the financial advisor and their retail clients. PTX Securities, LLC understands the needs and desires of retail investors, the motivations of a financial adviser, complex compliance requirements, and business needs of broker dealers that join a selling group. PTX also understands the role that FINRA regulators play in protecting the interests of investors. PTX Securities, LLC offers expert Managing Broker Dealer Services from product inception to the close of the offering. All while balancing needs of the sponsor, selling group members and regulatory requirements. As Managing Broker Dealer, PTX will provide these services to the sponsor. Experience with complex compliance requirements Advice on Legal Documents and Filings Performing a due diligence review and initial assessment as Managing BrokerDealer Ensuring the preservation and lawful use of the Regulation D exemption by screening potential selling group members for excluded firms and persons by Reg. A Rule 262 and Reg. D Rule 506(d) Providing compensation to the selling group members, with sufficient detail for the selling group members to compensate their reps and match transactions to compensations Maintain a master blotter of transactions Review all completed subscription documents for completeness Provide completed, in “good order” subscription agreements to the Issuer, with suggestions or advice about non-acceptance if the potential investor may not be appropriate for admission to the partnership Controlling the receipt of purchase documents and payments Advise the Issuer of which States need Blue Sky Filings Coordinate the 3rd Party administrator Managing Risk Control of product distribution Understanding the business needs of the Broker Dealers that would be joining the sponsor’s selling group
Address: 6221 Chapel Hill Boulevard, Suite 200, Plano, TX 75093 USA
Phone: +1 972 473 2230
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