As a financial professional, you often have the opportunity to participate in an individual or company's investment activity. Yet, every time you participate with a business owner in the sale of all or a portion of any securities, you raise the issue of whether a professional like you is engaging in the securities business and should have a securities license. This issue has been raised often in federal and state regulatory agencies who look at such participation very closely and often find that licensing is required.

A trend is emerging at both federal and state levels to require the licensing of business intermediaries, sometimes as mortgage brokers, real estate brokers, investment advisers or broker-dealers. To become a broker-dealer, for instance, an intermediary would have to spend several thousand dollars per year, suspend business activity for six months pending FINRA approval, subject all prior transactions to FINRA scrutiny, and deal with complicated compliance matters on an ongoing basis. The time for you to act is now.

Before the regulatory domino effect takes hold, you can sharpen your competitive edge now and increase your business activity now by becoming a licensed member of 

CAPITAL SECURITIES
INVESTMENT CORPORATION 's

CPA Network.

We offer you more than the ability to be licensed with an FINRA member firm. We offer you top-notch training, various products, marketing programs and relationships to help you complete transactions.

CAPITAL SECURITIES has approximately 50 retail brokers, is licensed in all 50 states, and has not had any violations with the FINRA and or other regulatory authorities.