Crowdfunding

Why Should You Attend:

Crowdfunding is the newest and most unique methods for smaller companies, whether startups or existing, to raise investment capital in a cost effective manner. However, it is still in the early stages of its development.

It is extremely important for those involved in the financial investment community to understand what crowdfunding means to the investment world. This means FINRA brokers/dealers, registered investment advisories, stockbrokers, investment advisors, management of family offices, pension fund managers, and all other financial intermediaries should understand what crowdfunding is all about. It is also extremely important for accredited investors to have an understanding of this new capital formation tool. Financial salesmen or advisors must be able to answer questions about crowdfunding or they will lose their credibility with investors.

This course will define the parameters set out by the JOBS Act, the history of crowdfunding, funding portals, the importance of due diligence in the crowdfunding process, and more.

Areas Covered in the Webinar:

• What is the JOBS Act?
• What has been the short history of crowdfunding - success or failure?
• Who can invest in crowdfunded offerings?
• What is a funding portal?
• What are some of the types of investments?
• What are some of the funding portals that exist today?
• Should this market be regulated and to what extent?
• What are the fees that may be charged?
• How important is due diligence in the crowdfunding process?
• Do these securities trade in the open market?
• What is the exit strategy for securities purchased in this manner?
• Has the SEC completed the process of writing all the rules?
• What are the different types of crowdfunding intermediaries?

Who Will Benefit:

• Bank/Financial Institution Managers
• Branch Managers
• Broker/Dealer Management
• Compliance Managers
• Compliance Analyst/Investigators
• RIA Management
• Registered Investment Advisors
• Pension Funds
• HR
• Payroll
• Accountants
• Family Offices
• Due Diligence Departments or Individuals
• Other Financial Intermediaries
• Corporate Management
• Accredited Investors
• Investors
• Small Business Owners
• Self Employed Owners and Startups
• Directors, CEOs, CFOs
• Asset Managers
• Finance Officers

Instructor Profile:

Jeffrey Brandon’s forty-three years in financial securities in senior and executive management roles encompassed training and providing solutions in solving the needs of investors. He has designed and integrated new products and services into brokerage firm operational and sales platforms. His flawless regulatory history can be credited to the integrity he possesses and brings to employees he has had the honor to work with. He has trained brokers and staff encompassing all levels from beginners to advanced, seasoned professionals.

Mr. Brandon has set up executive services groups to fulfill the specific needs of corporate executives and high net worth individuals. He is the founder of JBrandonConsulting, LLC, providing consulting and expert witness testimony to attorneys and clients (both claimants and respondents) in FINRA (Financial Industry Regulatory Authority) arbitrations, mediations and trials. He is also the co-founder of a new firm, Due Diligence Services, LLC, providing various levels of due diligence investigations and reporting on private placement and private equity offerings of all sizes and types.

Having been in sales and sales management his entire career, he brings a unique approach and perspective to the regulatory process. This experience lends a different take on the regulatory, compliance and product or capital formation process.

Jeffrey Brandon graduated from Ohio State/Wright State University with a BA in International Economics and Organic Chemistry. In November 2014, he participated in a FINRA Compliance Conference covering both crowdfunding and due diligence.

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