Netcapital Secures FINRA Approval for Broker-Dealer License
Written by Emily J. Thompson, Senior Investment Analyst
Updated: Nov 26 2024
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Should l Buy NCPL?
Source: Newsfilter
Netcapital Securities Inc. Approval: Netcapital Inc.'s subsidiary, Netcapital Securities Inc., has received FINRA approval to operate as a broker-dealer, enabling it to engage in private placements and referral business under Regulation A and D.
Expansion of Services: This approval allows Netcapital to support larger capital raises, charge fees for services, and collaborate with other broker-dealers, enhancing investment opportunities for its clients.
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Analyst Views on NCPL
About NCPL
Netcapital Inc. is a fintech company with a scalable technology platform that allows private companies to raise capital online and provides private equity investment opportunities to investors. It provides private company investment access to accredited and non-accredited investors through its online portal (www.netcapital.com), which is operated by its wholly owned subsidiaries Netcapital Funding Portal, Inc. and its broker-deal subsidiary, Netcapital Securities Inc. In addition to access to the funding portal, it provides services, including a fully automated onboarding process; automated filing of required regulatory documents; compliance review; a custom-built offering page on its portal Website; third party transfer agent and custodial services; e-mail marketing to its list of investors; rolling closes, which provide potential access to liquidity before the final close date of an offering; assistance with annual filings, and direct access to its team for ongoing support.
About the author
Emily J. Thompson
Emily J. Thompson, a Chartered Financial Analyst (CFA) with 12 years in investment research, graduated with honors from the Wharton School. Specializing in industrial and technology stocks, she provides in-depth analysis for Intellectia’s earnings and market brief reports.
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