InvestmentBank.com Is Not a Registered Broker-Dealer
This disclosure explains in plain language what InvestmentBank.com is not authorized to do and why you should engage a licensed broker-dealer for regulated securities activities.
InvestmentBank.com is not a registered broker-dealer and does not provide securities brokerage or investment banking advisory services.
Broker-Dealer Registration Status
InvestmentBank.com is not a registered broker-dealer and does not provide securities brokerage or investment banking advisory services. The platform does not solicit investors, place securities, negotiate securities transactions, or receive transaction-based compensation for securities transactions.
- Not registered with FINRA as a broker-dealer
- Not registered with the SEC as a broker-dealer or investment adviser
- Does not hold a securities license in any U.S. or international jurisdiction
- Does not receive success fees, placement fees, or transaction-based compensation
- Does not introduce issuers to investors or negotiate the terms of securities transactions
What Broker-Dealer Registration Means and Why It Matters
Under U.S. federal securities law, a broker is any person engaged in the business of effecting transactions in securities for the account of others. A dealer is any person engaged in the business of buying and selling securities for their own account. Broker-dealers must register with the Securities and Exchange Commission (SEC) and become members of the Financial Industry Regulatory Authority (FINRA). These registrations carry ongoing compliance obligations, supervision requirements, and customer-protection rules designed to safeguard investors.
InvestmentBank.com does not engage in any of these regulated activities. The platform provides software tools for workflow organization, document preparation, data-room management, and educational resources related to capital markets transactions. These are software and information services, not securities services. No person at InvestmentBank.com holds a Series 7, Series 79, Series 82, or equivalent securities license in connection with the platform.
If your transaction requires placement of securities with investors, solicitation of investor interest, negotiation of securities transaction terms, or receipt of compensation contingent on the completion of a securities transaction, you must engage a FINRA-registered broker-dealer independently. The platform is designed to help you organize and prepare materials that you and your licensed professionals will then use in your actual transaction process.
Nothing in any platform output, AI-assisted draft, workflow template, or educational resource constitutes an act requiring broker-dealer registration or should be interpreted as broker-dealer services. Platform outputs are preparation tools and must be reviewed and used in conjunction with qualified licensed professionals.
What the Platform Provides vs. What a Broker-Dealer Provides
Use this comparison to understand where InvestmentBank.com ends and where a licensed broker-dealer is required.
Activities That Require a Registered Broker-Dealer
The following activities require engagement of a FINRA-registered broker-dealer. InvestmentBank.com does not perform any of these services.
- Placement of equity or debt securities with investors
- Soliciting investor interest in a securities offering
- Negotiating the price, terms, or structure of a securities transaction on your behalf
- Receiving compensation contingent on the closing of a securities transaction
- Acting as a placement agent in a private placement
- Providing regulated investment banking advisory services in connection with an M&A transaction
- Underwriting a public or private securities offering
Software Platform — Not a Regulated Securities Firm
We make the regulatory boundary visible — not buried. InvestmentBank.com is a workflow, document-preparation, and education platform. It does not provide regulated brokerage, advisory, legal, tax, or accounting services.
Read all disclosuresSoftware platform only
We provide workflow software, document organization, education, and AI-assisted summaries — not regulated services.
Not a registered broker-dealer
We do not solicit investors, place securities, negotiate securities transactions, or receive transaction-based compensation.
No investment advice
Nothing on the platform is a recommendation to buy, sell, or hold any security, or a suitability determination.
No legal, tax, or accounting advice
The platform does not provide legal, tax, or accounting advice, and is not a law, accounting, or tax firm.
No fairness or valuation opinions
Outputs are preparation and organization aids — never fairness opinions, valuations, or appraisals.
Human review required
All outputs are drafts. Qualified, licensed professionals should review materials before they are relied upon.
Broker-Dealer Disclosure FAQ
Why does the platform use the name ‘InvestmentBank.com’ if it is not an investment bank?
The platform name reflects the subject matter of its tools and educational resources: investment banking workflow, capital markets transaction preparation, and deal-readiness software. It does not indicate that the platform holds any securities license or provides investment banking advisory services.
Can the platform help me find a broker-dealer?
No. InvestmentBank.com does not provide referrals to, or endorsements of, any registered broker-dealer or investment banking firm.
Does using the platform create any broker-dealer relationship?
No. Use of the platform creates a software subscription relationship governed by the Terms of Service. It does not create any broker-customer relationship, advisory relationship, or regulated financial services relationship.
Are the platform’s AI tools considered broker-dealer services?
No. AI-assisted tools on the platform produce workflow drafts and document summaries based on inputs you provide. They are software tools, not regulated securities services. All AI outputs must be reviewed by qualified professionals before use.
Read More Platform Disclosures
Review the full set of platform disclosures to understand all limitations before using InvestmentBank.com in your transaction process.
InvestmentBank.com is not a registered broker-dealer and does not provide regulated securities services.