Forty Years. One Standard.
Capital markets, investment banking, and supervised distribution — anchored by four decades of regulatory discipline.
Recent News
01 / 02Effective March 10, 2026—Liberty Associates, Inc. enters into a non-exclusive referral and revenue-sharing arrangement with Acrisure Re Corporate Advisory & Solutions, LLC (ARCAS).
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Continuous FINRA membership
Liberty Associates, Inc. was incorporated in New York on February 28, 1984. We have operated continuously as a FINRA-member broker-dealer ever since.
Today, under the leadership of CEO Allison Lindh, we serve operating companies, issuers, institutional investors, qualified accredited investors, and supervised distribution partners across the U.S. and select international jurisdictions.
What We Do
Nine FINRA-authorized lines of business.
Two additional service capabilities.
FINRA-Authorized Lines of Business
OTC Equity Securities
Buying and selling corporate equity securities in over-the-counter markets on behalf of qualified clients.
Corporate Debt Securities
Distribution and trading of corporate bonds and fixed-income instruments.
Mutual Fund Distribution
Distribution of mutual fund shares to qualified clients.
Variable Life & Annuities
Distribution of variable life insurance products and variable annuity contracts.
Real Estate Syndication
Broker-dealer services in connection with real estate syndication transactions.
Equity Options
Effecting transactions in equity options and other put-and-call instruments.
Limited Partnerships
Distribution of limited partnership interests and tax-advantaged investments in primary offerings.
Listed Securities — Arranged
Arranging transactions in exchange-listed securities through correspondent exchange-member firms.
Private Placements
Distribution of private securities offerings under applicable Regulation D exemptions to qualified investors.
Additional Service Capabilities
Finder & Commission-Sharing
Acting as finder for publicly listed companies introducing them to institutional investors in debt, equity, and convertible securities distributions on a best-efforts basis; commission-sharing through referral agreements with other broker-dealers.
Corporate Advisory & Consulting
Strategic advisory to private and publicly listed companies on funding, transactions, mergers, and acquisitions.
Our Track Record
Reflecting on a Forty-Year Standard
Four decades of continuous regulatory standing — measured not by promises, but by record.
40+
Years of continuous FINRA membership
3
Active strategic broker-dealer collaborations
9 + 2
FINRA-authorized lines of business plus additional capabilities
12+
FINRA series licenses held across the senior team
Member Of
Ready to move
with purpose?
Whether you're raising capital, exploring a placement, or building a syndicate, we'd welcome the conversation.