Webinars

Speaker - Jessica Burch, Vice President
Burch & Company, Inc. - Kansas City, MO

Burch & Company is an established FINRA broker/dealer, registered in all 50 states. Jessica Burch holds Series 24, 22, 62, 39 and 63 licenses and is responsible for establishing relationships with mid-market intermediaries for the firm.

Click Here to Download Jessica Burch's Presentation

New Areas of Practice Permitted by Securities Licensing:

M&A Transactions - stock sales, recapitalizations and mergers

Debt Placement - loans, mezzanine debt and warehouse lines

Equity Formation - private placements, PIPES and equity lines

Areas where licensing might be a hindrance

Speaker - William Loftis, CBI, M&AMI, AVA
Hunter Wise Financial Group. - Grand Blanc, MI

William (Bill) Loftis is a Managing Director of Hunter Wise Financial Group which is a specialized investment banking firm with both domestic and international offices. Bill is an experienced mid-market intermediary and holds a variety of securities licenses.

Click Here to Download Bill Loftis' presentation

Legislative Process – A Current Status Report:

Overview of the various proposed rules

Private Placement Broker (PBB)

M&A Broker (MAB)

Status of the Small Business Sales Transaction Exemption

Possible time frame for legislative consideration & action

Speaker - Mike Ertel, BSEE, MSIA, CBI, M&AMI, CM&AA
Legacy M&A Advisors - Tampa, FL

Mike Ertel is an experienced mid-market professional who is serving as the co-chair of the AMAA Licensure Taskforce. Mike has been involved in discussions on Capitol Hill in Washington, DC and with various state regulatory agencies as formation of possible regulations involving securities licensing have been developed.

Click Here to Download Mike Ertel's Presentation

Disclaimer:

The decision to pursue a securities license is one to be made only after fully understanding the time and monetary requirements involved in obtaining one or several of the licenses necessary to be involved in securities transactions. Holding a securities license does allow a professional intermediary to participate in additional revenue generating activities but also requires the completion of continuing educational requirements and requires ongoing record keeping responsibilities.

While The M&A Source neither recommends nor opposes securities licensing, we feel that is important for our members, fellow professionals and other intermediaries to be informed. Each individual can then make his/her own choice in regards to this important issue.