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Growth Capital Services, Inc.
582 Market Street, 15th Floor
San Francisco, CA 94104
(877) 839-3224
inbox@growthcapitalservices.com
Services
Compliance:
Our most important services are mandated by FINRA and other regulatory authorities: we provide the administrative infrastructure that you need to receive commissions legally. We are obligated to know, supervise and report on your business activities, including the securities you sell, your communications with the public, and the investors with whom you work. We make every effort to create a process that is efficient, transparent and forthright, providing you with flexibility and independence while you conduct your business.
Coordination:
Unlike many firms, our services do not stop there. We know that your time is best spent making calls and conducting business, as opposed to researching and implementing numerous administrative functions. Therefore, we have systematized and aggregated some of the most tedious tasks so that you can concentrate on what you do best. Best of all, these services are included in the membership fee.
Errors and Omissions policy coverage
Investor statement delivery
Client billing service
Background checking service
Fingerprints and notarization service
Data room for your unique use
Information technology expenses such as email address, website hosting service, compliance archiving account, blackberry setup, and phone based remote support to cover the preceding items
Registered rep fees for FINRA, SIPC, and your home state registrations
Test fees such as Series 7, Series 63 and Series 24
Broker-dealer fees and taxes
Collaboration:
Last but not least, we have created a hub through which you can work with our other affiliates — as much or as little as you like. The expanded networks can enhance your ability to access networks of potential investors, review current deals to improve the diversity of your offerings, and create a peer group to exchange information and implement best practices. Just as important, your ability to reference this larger network can help you to win the most attractive mandates; an advantage that solo shops may not have. Many affiliates have found the exchange of investor contacts, investment opportunities and highly relevant information to be immediately useful and personally rewarding.
While we believe that we have created an attractive service offering, we are always looking to improve. As an independent firm that is specifically geared to private placement transactions, we continue to roll out additional features intended to make your business more successful and less stressful.
