3APRIL 2025WHY BRITEHORN SECURITIESREGULATORY SERVICESCOMPLIACE LIGHT, COMPLIANCE RIGHTTMBritehorn Securities is a specialized broker-dealer built by investment bankers and placement agents for investment bankers and placement agents. We manage all of your compliance and licensing needs, without overwhelming you with extra paperwork. If you are seeking a partner who lets you focus on closing deals, look no further. As M&A and private placement professionals ourselves, we understand your business -- and we're committed to providing you a streamlined, best-of-class compliance platform that best supports it.Learn more at Britehorn.com or email us now at compliance@britehorn.com.Copyright © 2024 Britehorn.com ­ All Rights ReservedTHE BEST INDEPENDENT BROKER-DEALER PLATFORM FOR M&A PROFESSIONALS AND PRIVATE PLACEMENT AGENTSHealth, dental and vision insurance available We're not a party to your engagement agreements or retainersAccess to an in-house securities attorney for complex questionsPlease note: as of Reg BI going into effect in 2020, we no longer permit our representatives to directly sell, solicit, or make investment recommendations to any "retail customers" (as defined by the SEC). We strictly work with M&A, institutional, and wholesale channels.Streamlined processes and rapid turnaroundsDedicated compliance manager & personal service"We evaluated multiple broker-dealer platforms before selecting Britehorn. They have been excellent to work with for five years, providing complete broker-dealer oversight and support services. They clear our commissions quickly, register us in new states seamlessly, and are very responsive whenever we have questions. Most importantly, they free our time to focus on M&A advisory work."­ Peakview Partners o FINRA registration o Exam sponsorship o State registrations o Continuing education o AML compliance o Transaction compliance o Branch office filing and inspectionsTruly independent: we don't jeopardize your referral sources by affiliating with a wealth management platform Access to investor lists and marketing intelligence platforms
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