Brock Securities – Capital Markets

Brock Securities is a registered broker-dealer and member of the Securities Investor Protection Corporation (SIPC) and Financial Industry Regulation Authority (FINRA) (Click here for FINRA’s BrokerCheck) that provides investment banking, consulting and advisory services.

Unique Capital Raising Capabilities

Brock Securities specializes in raising capital in public and private markets, and placing debt, equity, and innovative and complex securities with institutional and other investors.

•Equity and Mezzanine
•Secured and Unsecured Debt
•Working Capital Loans
•Private Equity, Venture Capital, and Angels
•Family Offices

 

Value-Added Support

Drawing on the multi-disciplinary experience of the Brock team, Brock Securities assists clients in:

•Identifying a target investor group and effectively communicating the company’s story to the market
•Preparing investor materials and communications for prospective investors
•Managing the due diligence process and responding to inquiries
•Evaluating and selecting legal counsel and other advisors

 

Experienced Banking Professionals

Managed by dedicated, experienced and highly qualified members of the Brock team, Brock Securities:

•Arranges capital market transactions in excess of $5 billion, including public offerings, private placements, M&A, special purpose acquisition companies (SPACs), private investment in public equity (PIPEs) and secondary offerings.
•Brings expertise in industries including maritime, metals and mining, media, telecom, energy, real estate and financial services.
•Place securities with an established list of institutional and other investors.