LoHi Securities Has Got You Covered

If you are seeking a broker-dealer to support your investment banking and private placements activities, look no further. We focus on providing premium service based on reliable and secure technology solutions. We are straightforward with no hidden fees - and we cater strictly to professionals involved in institutional business.

“Compliance Light, Compliance Right”™

LoHi Securities’ broker-dealer and compliance solutions have been developed specifically for the institutional investment banker, fund or placement agent. What does this mean for you? We eliminate scores of regulatory work and requirements that have nothing to do with your business!

Investment Bankers

We provide investment bankers the necessary broker-dealer sponsorship and a full suite of compliance tools to help make their work seamless and sound from a regulatory perspective.

Funds and Placement Agents

We provide a turn-key compliance solution for private funds and the sales personnel and placement agents working for them or with them to raise capital through private placements.

Compliance Services

As a leading independent broker-dealer, LoHi Securities offers a highly informed, business relevant and non-intrusive approach to compliance so you can operate independently and successfully while still meeting all necessary regulatory requirements.

Digital Asset Offerings

We can help clients navigate the complex and ever-changing regulatory framework around digital asset offerings to insure compliance with state and federal law. LoHi Securities, and its trusted legal and accounting partners, stay abreast of changing laws and regulations to offer objective and expert advice to companies wishing to take advantage of these opportunities.

Affiliating with LoHi Securities allows you to:

  • 1.Maintain or take the FINRA exams necessary to conduct your securities-related business.
  • 2.Stay abreast and in compliance with the latest rules and regulations specific to your type of business.
  • 3.Conduct security transactions legally and soundly.
  • 4.Collaborate, if you’d like, with other LoHi Securities investment bankers, placement agents and institutional sales personnel.
  • 5.Leave the compliance leg work and paperwork to us.

Add-On Services

  • IT Support
  • FINRA compliant website design & maintenance
  • FINRA compliant email setup & maintenance
  • FINRA compliant SEO