Structuring and Admin: Ep. 12 - Broker Dealers w/ Jim Dowd
In this episode of Structuring and Admin, Jeremy talks with Jim Dowd on the role of broker dealers in the private investment space, and Jim breaks down exemptions and structuring strategies in the modern regulatory environment. - Reg D vs. Reg CF - Crowdfunding - Reg CF vs. Reg A- How broker dealers provide services with these different types of raises?Jim is Founder and CEO of North Capital Private Securities (NCPS), a registered broker-dealer focused on origination, placement, and clearing of exempt securities; North Capital Investment Technology (NCIT), which provides technology for the exempt securities market; and North Capital Inc., a registered investment advisor. North Capital Private Securities is the designated broker-dealer for many securities funding platforms in the early stage equity, real estate, private funds, and securities token markets.Jim has extensive experience as the “broker-dealer service and function when it comes to origination, placement, and clearing of exempt securities, specifically being the designated broker-dealer for funding platforms in the early stage equity space."