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Convergent Securities, LLC

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Convergent Securities, LLC

Overview:

Convergent Securities, LLC is a dually registered broker-dealer with the U.S. Securities and Exchange Commission and state registered investment advisor firm (Florida and Georgia). Founded in 2009, Convergent Securities has entered the market to assist both issuers and investors in the evaluation of private investment and funding opportunities, due diligence throughout the offering process, and oversight in the deployment of capital. Understanding the need for capital formation in micro and small capitalization companies, public as well as private, as well as the investment opportunities presented by private funding arrangements, the company seeks to develop itself as a leader in the private funding space.

As a “dual registrant”, our service offerings can be divided between our investment advisory and securities brokerage arms. With respect to our brokerage business, Convergent Securities is permitted to conduct private placement offerings and assist with mergers and acquisitions. The company is prepared to serve issuers in the structuring of private securities offerings, due diligence in the initial preparation and through the offering process, and then the identification of placement channels for funding. As the company recognizes the value in collaboration with market participants, our firm strives to maintain continual communication with other FINRA member firms and thereby provides issuers with greater market exposure and placement channels as well as a more diverse portfolio of offerings for the investment community.

Convergent Securities’ investment advisory practice carries over the resources from the broker-dealer operations and is situated to provide investment evaluation and due diligence from either the issuer’s or investor’s prospective. As in any market, a multitude of products are readily available, although an appropriate selection for an investment requires a careful analysis, valuation, and then potentially even the negotiation of funding terms. Similarly, success in funding is greatly dependent upon transparency and the economic attractiveness to the underlying business model and valuation and, as such, our firm works with issuers to position or reposition their company and securities offerings to increase the likelihood of placement and otherwise obtain a balanced capital structure.

History: Founded in 2009

Member: FINRA

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