Broker dealer services
For Partnerships, Private Funds, and Issuers
Sovereign International is a registered broker-dealer specializing in the offering, transaction, and settlement of private and exempt securities, including those under Regulation A+, Regulation D, and Regulation S. When conducting securities offerings, issuers and professional intermediaries, such as fundraising platforms, may sometimes be required to engage licensed representatives.
We offer the ability to affiliate with our broker-dealer, enabling you to hold licenses and ensure compliance oversight for securities transactions handled through the firm.
We have extensive experience as a managing broker for Regulation A+, Regulation D, and Regulation S offerings. Our team specializes in:
- SEC and FINRA qualification processes
- Investor due diligence and vetting
- Advertising compliance review
- Escrow management for subscriptions
- Settlement and payment processing
- Custody services
Our expertise, combined with open, API-enabled technology and streamlined procedures, ensures rapid and predictable turnaround times, empowering our clients to optimize their operations efficiently.
Perform Investor Screening
We provide comprehensive services to perform the necessary compliance checks before accepting an investor into a securities offering. Our services include:
- Verification of Accredited Investors
- Know Your Customer (KYC) checks to verify identities
- Anti-Money Laundering (AML) screening
- Suitability assessments for investors
- Transaction facilitation
These checks can be conducted through our API or via one of our advanced technology solutions.
Team of Experts
Several Series 24 Registered Principals oversee the broker-dealer activities of Sovereign International, ensuring adherence to FINRA regulations and guidelines. These processes have been carefully developed and refined to uphold the highest standards of regulatory compliance.
To maintain exceptional compliance standards, we ensure that our personnel are highly qualified experts dedicated to delivering outstanding service to our clients.
Keeping track of our investors' information
Sovereign International securely stores confidential investment information on advanced, secure systems, ensuring clients can remain worry-free about data security. Additionally, any of Sovereign International’s technology solutions can electronically collect and store this information in our systems seamlessly via API integration.
Ensure Investor Protection and Transparency
As a registered broker-dealer, Sovereign International is committed to safeguarding investors and ensuring that all risks are transparently communicated before their participation in any securities transactions we offer.
Our team supports clients by preparing disclosure statements and thoroughly reviewing offering and marketing materials to confirm the accuracy of information and ensure that all risks are properly disclosed.
Carry out due diligence
In compliance with FINRA NTM 10-22 and Rule 2111, Sovereign International conducts “reasonable basis” due diligence. During this process, a Sovereign International representative will evaluate your proposal, including an independent analysis of the project’s economics and a thorough review of the proposal materials (e.g., pitch book, offering memorandum, entity formation documents, risk disclosures, and subscription documents).
The primary objective of this assessment is to determine the suitability of the offering for investors and to ensure that the materials provided are free from significant misstatements or omissions to the best of our ability. Before closing, we will work closely with you and your legal counsel to address any red flags or potential disclosure concerns.
Approval of Advertising
To ensure “fair and balanced” compliance and minimize the risk of unintentional 10b-5 violations, Sovereign International will review all offering communications classified as “communication with the public” under FINRA Rule 2210. This includes materials disseminated to more than 25 recipients within a 30-day period.
A registered principal will carefully evaluate these materials, address any comments or questions, and provide approval once they are deemed fair, balanced, and compliant with Rule 2210 requirements.
Services of supervision and advice
We are happy to provide guidance on all aspects of your offering, including facilitating investments through qualified self-directed accounts (IRAs, ROTHs), post-transaction reporting, investor communication, managing customer complaints (if any), and coordinating with administrators, accountants, and transfer agents. This guidance and counsel are offered as a complimentary benefit of our services, with no additional fees.
Escrow for Subscriptions
Sovereign International can serve as an escrow agent, facilitating the creation and management of a subscription escrow account for collecting and handling investor funds in contingent offerings, as defined by SEA Rule 15c2-4. While it is not mandatory to use Sovereign International, our extensive involvement in a high volume of exempt offerings each year often makes us a cost-effective choice for subscription escrow services.