Why Can’t I Get Compensated for Selling Securities for Others?

Why Can’t I Get Compensated for Selling Securities for Others?

You can, but you must have a license to do it. 

Just like a real estate broker is required to have a license to get a commission for selling someone else’s house, you need a license to sell someone else’s securities. And it’s a hassle to get. We have articles about this in our website library. 

The alternative is to become part of the company that is issuing the securities. In that case, the company as the “issuer” can get a “for sale by owner” exemption for selling their own securities — as long as they don’t pay commissions (or “transaction-based compensation” related to the amount raised) to any unlicensed brokers (including their own officers, directors and staff or unlicensed third parties), and everyone gets compensated for their role in management other than raising money. 

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At Syndication Attorneys LLC, we are committed to your success – book a consultation with one of our team members today!

Are you ready to raise private capital?

At Syndication Attorneys LLC, we are committed to your success – book a consultation with one of our team members today!

About Syndication Attorneys

We are NOT your stereotypical law firm. We don’t believe in simply taking your money, handing you a stack of technical, often-incomprehensible legal documents and then bidding you good luck and good-bye. At Syndication Attorneys PLLC, we are committed to your success – not just with the project at hand, but your continuing success in business and investing. We are your long-term legal team.

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