RegAMoney.com: Regulation A+ works great for Broker-Dealers (BD) because it allows them to offer new and exciting products to more investors. The non-accredited stature of many of these investors means the BD can reach new clientele through these unique offerings (which we at the “Reg.A Money Show” affectionately refer to as an #IPOtogo). Besides helping issuers maximize their capital raising potential, broker-dealers foster secondary markets for Reg.A+ securities.
In this podcast episode, we spoke to Carl Dilley of Spartan Securities about a number of broker-dealer related topics, including how broker dealers mitigate risk through regulatory oversight and liquidity as well as the advantages of companies hiring broker-dealers to make a market for their Regulation A+ offering. After listening to this podcast, you’ll finally understand the role of a BD – and it’s NOT some Hollywood movie script!
ABOUT OUR GUEST: Carl Dilley:
Mr. Carl Dilley has been the President of Island Stock Transfer LLC since 2003. Mr. Dilley is a Co-founder of Endurance Exploration Group, Inc. and has been its Vice President since January 2013. Mr. Dilley serves as a Managing Partner of Endeavour Cooperative Partners. He serves as Chief Executive Officer of Vacation Travel Corp. He acts as Senior Executive Officer of Island Stock Transfer LLC and responsible for oversight of day to day operations and is actively involved in the sales and marketing process.
He is also employed at Spartan Securities Group and performs retail, investment banking and new listing services functions. He served as President of Pioneer Recycling. He served as Chairman and President of Vacation Travel Corp. Mr. Dilley served as Vice President of Tecton Corp. He served as the Chairman of Ecom Products Group Corporation from July 31, 2015 to November 2016.
Mr. Dilley having been involved in the investment Industry since 1983, holds FINRA series 24, 66 and 7 Securities licenses to perform retail, investment banking and new listing services functions for Spartan, where he served as Managing Partner until January 2015, when he stepped down to assume the role as President of Pioneer Recycling. He serves as a Director of Vacation Travel Corp. He serves as a Director of Wrapmail, Inc. He has been a Director of Perpetual Industries Inc. since May 26, 2015. He has been a Director of Endurance Exploration Group, Inc. since January 2013. Mr. Dilley served as a Director of Tecton Corp. since January 14, 2013.
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All information provided is for informational purposes only. This information is not intended as legal or investment advice for anyone to make an investment in any one particular company and is not intended for any companies to rely on this information to form an opinion to go public or not to go public or to do any type of offering of securities. You must check with a securities attorney to find out if an offering is for you, or if you are going to be in the business of selling any type of securities, you need to make sure you are following your state and federal legislations law so you do not get into any troubles. Do not use the opinions as stated on this show as any way to form an opinion as what is wrong or right or what could be done for your business or as an investor.