Compliance Assurance At Braxxwood, we are committed to the highest standards of integrity and professionalism in our services. As we work towards obtaining our FINRA brokerage licenses, it is important to note that we are not currently a registered broker-dealer. Our services are purely advisory and consultative in nature, focusing on strategic investor introductions and comprehensive capital raising assistance.
Regulatory Disclaimer Braxxwood is not yet licensed by the Financial Industry Regulatory Authority (FINRA) or any other financial regulatory body in the United States. Our work is conducted in strict compliance with existing securities laws and in partnership with registered broker-dealers when necessary to ensure full compliance with all applicable regulations.
Independent Advisory While we facilitate access to capital and provide expert consulting for transaction readiness, we do not handle securities transactions directly nor do we engage in the buying or selling of securities. Our role is to prepare and guide our clients through the complex landscape of capital raising and mergers & acquisitions.
SEC Guidelines All activities and communications are crafted to adhere strictly to the guidelines provided by the Securities and Exchange Commission (SEC). We ensure all client engagements are conducted under the appropriate exemptions and follow all regulatory requirements to maintain transparency and compliance.