Solutions

Supporting Your Independence

With Hamilton Grant as your Broker-Dealer, you get to spend your time managing business transactions instead of managing administrative tasks.

Hamilton Grant delivers compliance and operations-related support for independent investment banks specializing in Mergers and Acquisitions (M&A) for $5 million to $500 million revenue private companies.

Solutions

Regulatory Compliance

  • Branch Office Reviews
  • AML Compliance
  • Outside Business Activity Review
  • Insider-trading Prevention

Licensing Requirements

  • FINRA Licensing
  • State Licensing

Digital Presence & Advertising

  • Email Capture and Retention
  • Advertising Review
  • Website Support and Retention
  • Social Media Support

Insurance

  • Errors and Omissions
  • Fidelity Bond

Hamilton Grant LLC
70 S. Lake Ave., Suite 700
Pasadena, CA 91101


© 2020 Hamilton Grant LLC 

Member FINRA
Member SIPC