Join IIB: Your Path to Independent Investment Banking Starts Here
Going independent doesn't mean going it alone.
By visiting Independent Investment Bankers Corp. (IIB), you've already taken the first step toward aligning with a licensed, FINRA-registered broker-dealer that puts client-first advisory and ethical dealmaking at the core of its platform.
Whether you're looking to launch your own investment banking practice or transition from another firm, IIB offers the infrastructure, flexibility, and support to help you succeed — compliantly, profitably, and independently.
How to Join IIB: A Streamlined, Supportive Process
We make onboarding fast and simple. In fact, most professionals can complete affiliation with IIB in just a few days.
- Step 1: Discovery Call
We start with a brief call (phone or Zoom) to understand your goals, experience, and whether our cultures align.
During this call, we’ll discuss:
- Your background and licensing status
- How our platform works
- What day-to-day compliance and support looks like
- Our 10-Step Deal Process
- Your long-term vision
To get started, email us at info@iibcorp.com and include your LinkedIn profile or a short bio to expedite scheduling.
- Step 2: Onboarding Questionnaire
If there's a fit, we'll send a short onboarding questionnaire. Based on your responses, we'll prepare a custom economic proposal outlining your low-cost structure and high payout potential (up to 98%).
- Step 3: Registration Kit + OBAs + Invoice
Once the proposal is accepted, we'll send your personalized registration kit, request details about any Outside Business Activities (OBAs), and issue your onboarding invoice.
- Step 4: Background Check
Before submitting your U4, we conduct a pre-affiliation background check using a mix of public and private databases. This is separate from FINRA's own background and fingerprinting process.
- Step 5: U4 Submission
After final review of your registration documents and OBAs, we'll send you a secure link to update and submit your U4 form electronically. Once submitted and approved — Welcome to IIB!
Post-Registration Setup
- Step 1: Team Onboarding Call
Meet your U.S.-based support team—including legal, compliance, accounting, and IT—and learn who to contact for what.
- Step 2: Fingerprinting
Even if you’ve been registered with another firm, FINRA requires new fingerprinting. We’ll send you an approved vendor link.
- Step 3: Email Archiving Setup
IIB provides email archiving solutions to meet FINRA requirements. Our IT team will handle setup with you.
- Step 4: Key Documents & Templates
We'll provide:
- Required disclosures for your website, email, and business cards
- Written Supervisory Procedures (WSPs)
- Anti-Money Laundering (AML) policies
- 10-Step Compliance Deal Process
- Our standard engagement letter template
- Step 5: Cybersecurity Monitoring
To protect client data, we'll also provide a secure, cloud-based cybersecurity monitoring tool that gives you a real-time risk score.
Ongoing Compliance & Education
- Annual Compliance Meeting
Held virtually, covering timely, relevant regulatory topics.
- Firm Element Continuing Education
IIB provides on-demand learning modules you can complete at your convenience.
- Regulatory CE (FINRA)
FINRA requires annual CE via the FINPRO portal at finra.org. We’ll guide you through it.
- Annual Compliance Questionnaire
A brief, required annual form to confirm key compliance topics.
- Remote Office Inspections
We participate in FINRA’s remote inspection pilot. Periodic inspections are done virtually, though we may visit in person when feasible.
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.