Issuer Services
Stock issuer services for companies navigating the small-cap and OTC markets.
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Institutional Services
Who We Serve
Brookfield is a registered Broker Dealer that offers a wide variety of financial services to a range of different client profiles.
Our Approach
We offer services for introducing brokerage clients and would be pleased to discuss these in full detail.
Assets Under Management
$1T+
Professionals
5,800+
Countries
50+
Years of Experience
125+
Institutional Services
Services Include
01
Cash Brokerage Accounts
Straightforward account structures built for institutional and introducing brokerage clients.
02
144 Restricted Stock Transactions
Expert handling of Rule 144 restricted stock sales, including control stock sales for officers, directors and affiliates.
03
Excellent Trade Execution
Excellent trading execution on both principal and agency transactions, including sizeable positions.
04
Self-Clearing
Self-clearing capability expedites transfers, payments to customers, and settlement across the board.
144 Restricted Stock Transactions
Expert assistance, every step of the way.
Rule 144, promulgated under the Securities Act of 1933, is a safe harbor provision that allows holders of restricted securities to make sales of stock when certain conditions are met — including a one-year holding period, fully reporting issuer status, volume limitations, manner of sale and affiliate status. At Brookfield, we believe sellers of restricted stock should have expert assistance to ensure all procedures comply with SEC regulations. Our account executives are experienced in handling 144 procedures and strive to complete transactions in a timely manner with excellent execution.
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Client Services
Shareholder services, including stock clearing and Brookfield Direct Purchases.
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We partner with institutions and individuals to grow wealth for all, guided by an investment approach focused on enduring value.