Join Our Team
Pickwick continues to expand the reach of its investment banking and fund placement services through an increasing presence of Pickwick registered representatives in the marketplace. We assist our representatives with successful outcomes through a variety of ways:
- FINRA registration for individual representatives or practicing firm teams (see Our Partners);
- Compliance support for activities such as M&A advisory, private capital raises, valuations, fundraising for institutions;
- Marketing & sales effort support to grow Pickwick and partnered practices;
- Transactional and process support such as financial modeling, book building, outreach effort targeting, etc.
Services
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Registration
Many of our registered representatives have extensive experience with large investment banks and asset management firms. With the continuous evolution of the financial industry, Pickwick can provide affiliates the opportunity to join a regional investment banking and fund placement boutique or build your own practice with our platform's support. Our compliance and operations team can help potential registered representatives with the transition process and structure . |
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Licensing
Affiliating as a registered representative of Pickwick Capital, our compliance team will assist you in scheduling and taking FINRA and state exams required in securities-related business. Using our platform to properly hold your licenses ensures the quality and lawful conduct of your business integrity. Our registered representatives hold a combination of the Series 7, 63, and 79 as a part of our investment banking and fund placement teams. |
Compliance
Our compliance team prides itself in providing detailed regulation of our registered representatives in an ever-changing regulatory environment. Working through our executive office, Pickwick's compliance team makes sure the firm is current in registration requirements, understands the transaction process and provides guidance as non-producing team members. Joining our team means you can focus on running a transaction process with the highest compliance quality possible.
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