Independent Brokerage Solutions LLC MEMBER: FINRA/SIPC (“IndieBrokers”) was created within the DFP Partners Group as the solution to a growing need in the financial services industry for an independent broker dealer with broad institutional regulatory compliance and advisory experience. An integral piece in the DFP Partners Group value chain, IndieBrokers provides the means for financial professionals to conduct registered activities while developing their business plans, applying for FINRA membership, or as a longer-term decision to associate with IndieBrokers and its branch office solutions.

IndieBrokers provides a supervised, regulated environment for seasoned professionals and cutting-edge newcomers to operate under their own brands. Offices of the Firm have conducted Institutional and Generally Solicited Private Placements; Regulation A, Regulation S, and REIT offerings; Buy Side and Sell Side Mergers & Acquisitions and Corporate Advisory services; Wealth Management; and Business Consulting Services to various financial industry participants.

We support your business success by working with you and your team to help implement your regulated business plan. We will set up Branch Office Supervision on a collaborative basis with your team; guide and monitor your Sales Practices; and help your representatives meet their Ongoing Compliance Obligations. IndieBrokers will evaluate the Regulatory Obligations of your proposed business lines and Register your team’s Representatives; facilitate Trading Activities by introducing transactions on a fully disclosed basis to our Clearing Agent for Wealth Management practices or New Technology investment projects. Our Supervisors regularly Review Offering and Sales Material; Personal and Covered Securities Accounts; and the Social Media and Communications with the Public activities of your Registered Representatives. 

Since the Firm’s inception in 2011, IndieBrokers Investment Banking representatives have raised in excess of $1,500,000,000 in the capital markets and provided advice and guidance to private corporate transactions in excess of $300,000,000. Although past performance can never be a guarantee or indicator of future results for your transactional business, we have been there with our clients, and done that. We look forward to working with you and your team to help you build and perfect your business plans.

Let us know how we can partner with you.