Yes. To affiliate with Independent Investment Bankers Corp. (IIB), you must be licensed with FINRA. If you are not yet licensed, we can assist you in understanding the licensing process and how to become registered.
Frequently Asked Questions (FAQs)
Considering joining Independent Investment Bankers Corp. (IIB)?
We're here to make your transition to independence as smooth and successful as possible. Below, you'll find answers to some of the most common questions we receive from investment bankers exploring our platform.
At IIB, we specialize in providing experienced professionals with FINRA and SEC-compliant broker-dealer services, high payout structures, full regulatory support, and true brand independence—all backed by a U.S.-based, experienced support team.
If you don't see your question here, feel free to reach out to us at info@iibcorp.com — we're happy to help.
Typically, investment bankers affiliating with Independent Investment Bankers Corp. (IIB) hold the Securities Industry Essentials (SIE) exam, Series 79 (Investment Banking Representative), and Series 63 (Uniform Securities Agent State Law) licenses.
However, licensing requirements may vary depending on the specific services you intend to offer. If your activities are limited to making introductions or solicitations without engaging in full advisory work, you may qualify for a limited license.
We will review your business model and discuss your specific licensing needs during your initial discovery call to ensure the most appropriate and efficient path for your affiliation.
Yes. Independent Investment Bankers Corp. (IIB) welcomes professionals who are preparing for their licensing exams. We can guide you through the registration and sponsorship process as you work toward completing your licensing requirements.
The first step is passing the Securities Industry Essentials (SIE) exam, which is a prerequisite for taking the Series 79 licensing exam.
- The SIE exam does not require broker-dealer sponsorship, so candidates are encouraged to complete it independently before beginning the affiliation process with IIB.
- You can register for the SIE exam directly through FINRA by visiting: FINRA SIE Exam Information.
After you complete the SIE, we will assist you in preparing for the Series 79, Series 63, and any other necessary licensing needed to begin your practice as a compliant investment banking professional under the IIB platform.
Independent Investment Bankers Corp. (IIB) provides a full regulatory framework specifically designed for independent investment bankers and boutique advisory firms. Our compliance system has been developed and refined over more than fifteen years to effectively and efficiently supervise a large network of investment banking professionals.
Because IIB exclusively supports M&A advisory, capital raising, and strategic financial services, our compliance processes are tailored to this business model — meaning you are not burdened with unnecessary requirements that typically apply to retail brokerage, trading, or asset management firms.
We combine state-of-the-art technology tools with a seasoned U.S.-based compliance team to deliver fast response times, accurate compliance reviews, and seamless support. Our platform allows you to stay fully aligned with FINRA and SEC regulations while operating with greater efficiency, lower overhead, and greater focus on growing your practice.
At IIB, we deliver top-tier compliance support — without the unnecessary complexity or costs.
An Outside Business Activity (OBA) refers to any business activity outside of Independent Investment Bankers Corp. (IIB) that a registered representative engages in, whether compensated or not.
IIB requires that all OBAs be fully disclosed and receive pre-approval to ensure compliance with FINRA regulations and to mitigate any potential conflicts of interest.
In general, IIB allows OBAs as long as the activity is non-transactional in nature.
Our goal is to support your entrepreneurial efforts while maintaining the highest standards of regulatory compliance and protecting both you and the firm.
Yes. At Independent Investment Bankers Corp. (IIB), maintaining ownership of your client relationships and brand is a fundamental part of our philosophy.
We provide the regulatory compliance infrastructure you need to operate within FINRA and SEC guidelines, but we do not interfere with how you manage or grow your business.
In fact, we take a hands-off approach with your clients — we typically have no direct contact with your clients unless you specifically request our involvement in a meeting or engagement.
At IIB, you retain the independence to build, manage, and expand your client base while we support you behind the scenes with compliance, supervision, and back-office services.
Independent Investment Bankers Corp. (IIB) offers a low-cost affiliation model specifically designed for experienced investment banking professionals.
Our costs are fully transparent and disclosed upfront in your proposalas well as during each payout calculation.
The primary fees include:
- An annual fee (which primarily covers Errors & Omissions (E&O) insurance)
- IIB's retention on production, which funds regulatory compliance oversight, technology tools, and back-office support
We believe IIB provides one of the lowest-cost compliance solutionsavailable — without sacrificing the integrity of the compliance framework that protects you and your clients.
Our commitment to quality means investing in experienced professionalsand advanced technology, ensuring you have top-tier compliance and operational support. Maintaining fair compensation for our staff and investing in best-in-class systems is what allows us to deliver consistent, high-quality service to all of our affiliated bankers.
Independent Investment Bankers Corp. (IIB) offers a performance-based payout structure, with payouts as high as 98% for higher-producing investment bankers.
Our business model is built around your success — we succeed when you succeed. Unlike other broker-dealers that charge excessive or hidden fees regardless of banker performance, IIB keeps costs low, eliminates unnecessary fees, and ensures that you retain the majority of the revenue you generate.
We're fully aligned with our affiliated professionals and committed to providing strong economics, minimal overhead, and full transparency — so you can focus on building your practice, not watching for surprise deductions.
Yes. At Independent Investment Bankers Corp. (IIB), we fully support you operating under your own brand name. We encourage entrepreneurial investment bankers to build, grow, and promote their independent brand identity — while remaining fully compliant with FINRA and SEC regulations.
We believe that when you invest in your own brand and reputation, you're building long-term goodwill in the marketplace — and that goodwill stays with you, wherever your career takes you. Our goal is to support your success while giving you the freedom to run your business your way.
We hope that journey continues with IIB.
Only minimal disclosures are required to maintain regulatory compliance. Otherwise, you are free to market yourself and your firm's brand independently.
Yes. As an affiliated investment banker with Independent Investment Bankers Corp. (IIB), you are free to maintain your own website and marketing materials to promote your brand and services.
All content must be submitted to IIB's compliance team for review and approval to ensure it aligns with FINRA and SEC advertising regulations.
Our review process is efficient and focused on helping you maintain both creative freedom and regulatory compliance.
If you're launching a new firm or building your first online presence,IIB can assist you with developing your initial website as part of your onboarding support. Contact us to learn how we can help you get started.
Independent Investment Bankers Corp. (IIB) provides comprehensive back-office support focused on licensing, compliance, and supervision — so you can stay focused on what you do best: closing deals and serving your clients.
Our experienced, U.S.-based team handles the regulatory and operational requirements behind the scenes, giving you the freedom to grow your practice without administrative burdens.
At IIB, we streamline your business so you can maximize your time, efficiency, and results.
Yes. Our back-office operations are 100% U.S.-based. We do not offshore services, ensuring consistency, responsiveness, and deep institutional knowledge.
We integrate AI-driven tools to automate documentation, monitor cybersecurity, streamline compliance tasks, and reduce administrative overhead—helping you stay focused on building your business.
Yes. Every affiliated banker has direct access to experienced legal, compliance, accounting, and IT support with fast response times and personalized attention.
Most bankers can complete the onboarding and registration process within a few business days, depending on the speed of document submission and background verification.
The process includes an initial discovery call, onboarding questionnaire, proposal review, completion of registration paperwork, background check, U4 filing, and final approval by FINRA. Please look at the Join IIB section of the website for step by step instructions on how to join.
As an affiliated investment banker with Independent Investment Bankers Corp. (IIB), you will have a few key ongoing compliance obligations to maintain alignment with FINRA and firm-level requirements. These include:
- Participating in an annual compliance meeting (held virtually for your convenience)
- Completing both Firm Element and Regulatory Element continuing education (CE) requirements
- Submitting IIB's annual compliance questionnaire, which covers key topics and policy acknowledgments
Our goal is to make these requirements efficient and minimally disruptive, while ensuring that you remain fully compliant in today's evolving regulatory environment.
As an affiliated investment banker with Independent Investment Bankers Corp. (IIB), you are required to complete continuing education (CE) on an annual basis to maintain compliance with FINRA and firm-level requirements. This includes:
- Firm Element training, provided by IIB, tailored specifically to your role and aligned with industry best practices
- Regulatory Element training, completed annually through FINRA's FINPRO portal
To make the process more efficient and accessible, IIB develops proprietary educational videos that can help satisfy and potentially reduce certain Firm Element requirements — saving you time while ensuring you stay fully compliant.
We design our education program to be convenient, relevant, and easy to complete from your office or home.
Each year, affiliated investment bankers at Independent Investment Bankers Corp. (IIB) are required to complete a brief annual compliance questionnaire.
The questionnaire is designed to:
- Reinforce best regulatory practices
- Serve as a reminder of key policies outlined in IIB's Written Supervisory Procedures (WSPs)
- Confirm your ongoing understanding and acknowledgment of critical compliance requirements
Completing the annual compliance questionnaire helps ensure that you remain aligned with FINRA, SEC, and firm standards—while promoting a strong culture of compliance across the platform.
Yes. Periodic office inspections are required under FINRA regulations for all registered representatives to ensure ongoing compliance with regulatory standards.
Independent Investment Bankers Corp. (IIB) participates in FINRA's Remote Office Inspection Pilot Program, which allows us to conduct most inspections virtually instead of onsite. Our remote process is designed to:
- Save you time and money
- Minimize disruption to your daily business operations
- Ensure full regulatory compliance without the need for in-person visits unless specifically necessary
During the remote inspection process, you will:
- Complete a brief compliance questionnaire
- Submit documentation and photos of your office setup
- Participate in a scheduled video call with a member of IIB's compliance team
Our goal is to make the inspection experience efficient, convenient, and respectful of your time, while maintaining the high standards of compliance that protect you, your clients, and the firm.
Independent Investment Bankers Corp. (IIB) is built around one core mission: helping our investment bankers succeed.
Unlike traditional broker-dealer platforms, IIB's culture iscompletely dedicated to supporting entrepreneurial bankers with the tools, technology, and experienced team they need to win mandates, serve clients, and grow their practices.
We keep costs low by leveraging advanced compliance technologies and hiring seasoned professionals who know how to deliver fast, effective support — without unnecessary bureaucracy.
If you're looking for a safe, compliant, and entrepreneur-friendly platform where you retain control of your business and brand, IIB is your home.
Independent Investment Bankers Corp. (IIB) supports investment bankers who work across a wide range of industries, including:
- Business Services
- Cleantech and Renewable Energy
- Energy and Oil & Gas
- Consumer Products and Services
- Financial Services and FinTech
- Healthcare and Life Sciences
- Industrials and Manufacturing
- Metals and Natural Resources
- Gaming and Hospitality
- Real Estate and Construction
- Media and Communications
- Staffing and Human Capital Services
- Automotive
- Technology and Software
- Artificial Intelligence and Emerging Technologies
Our platform enables independent investment bankers to operate successfully across these diverse sectors while maintaining full regulatory compliance.
Investment bankers affiliated with Independent Investment Bankers Corp. (IIB) deliver a full range of advisory and financing services, including:
- Mergers and Acquisitions (M&A) advisory — both sell-side and buy-side
- Management Buyouts (MBOs)
- Divestitures and spin-offs
- Recapitalizations and restructuring advisory
- Strategic advisory services for corporate growth or transition planning
- Equity Financing — including private placements and growth capital
- Debt Financing — such as senior credit facilities, venture debt, and project financing
- Asset-Based Lending and bridge financing solutions
- Acquisition Financing to support strategic growth
- Unitranche, mezzanine financing, and refinancing structures
- Dividend recapitalizations to support shareholder liquidity
IIB's platform allows affiliated bankers to serve their clients' complex financial needs while maintaining the highest standards of professionalism, transparency, and regulatory compliance.
Why Bankers Choose IIB
- High payouts (up to 98%)
- No long-term contracts
- U.S.-based support team
- Full compliance coverage
- Control of your brand and independence
- Back-office services powered by AI
Ready to make the move to independence with support that's built for your success? Reach out to info@iibcorp.com to schedule your discovery call today.