Fallbrook's independent mergers & acquisitions representatives provide strategic advisory and investment banking services to middle market companies.

We offer one of the highest payouts for Representatives who can work independently and who are greatly supported by our experienced compliance professionals. Having your Series 79 Investment Banker’s license is the smart thing to do with the current regulations, and we make it easy for you by handling the necessary compliance and paperwork so you can do what you do best – generate sales.  You can keep your brand if you wish or be a part of Fallbrook with its long track record in the industry.                         

We choose our M&A representatives based on their experience, track record and ability to operate independently. Our team members have diverse specialties across various industries, allowing our clients to benefit from their knowledge and experience. Fallbrook simplifies the business of mergers & acquisitions investment banking. We navigate the ever-changing regulatory environment for our affiliated representatives, helping them to stay focused on their clients’ needs.


Qualifications for Series 79 sponsorship and/or affiliation with Fallbrook Capital:

  • Able to find and execute your own deals
  • Be committed full-time or generate enough fees to warrant affiliation with Fallbrook Capital
  • Be compliant to the FINRA regulations
  • Have 3 or more years of experience in M&A or investment banking

Our services                       

We provide the following services for affiliated representatives:

  • Securities licensing sponsorship
  • Transaction negotiation & documentation assistance
  • Form non-disclosure & engagement agreements                                    
  • Legal & regulatory compliance
  • Invoicing & Collections
  • Fast Payouts
  • Email & information technology support
  • Back-office administrative support
  • Simple no-hassle fee splits

Become an advisor

New & former advisors

We help prospective and formerly-licensed investment advisors through today's licensing process

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Licensed ADvisors

We work with currently-licensed FINRA Series 79 & 63 investment advisors and registered representatives

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