Join the Niagara Platform?

Niagara International Capital Limited offers compliance and registration services to individual advisors, independent Registered Investment Advisors and registered representatives functioning as investment banking groups independent investment banking representatives, or independent wealth managers who join the Niagara Platform.

Niagara assists such businesses with compliance, operational and registration assistance and support while you focus more principally on growing and maintaining your business. Niagara provides registration opportunities and a compliance structure to select independent contractors who provide complementary investment banking and asset management services on the Niagara Platform.

In addition, Niagara works to build collaboration between your team and other firms on the Niagara platform, working to refer business to firms on the Niagara platform. That’s the Niagara difference.

Independent and Team Broker Support

Whether involved in investment banking or wealth management, individually or as a team, Niagara may be able to provide the necessary compliance and registration services to those who join the Platform without focusing on the overhead responsibilities of running your brokerage business.

As FINRA has intensified its focus over recent years on independent bankers and brokers who deal with private securities, requiring licensing with FINRA, much of the capital advisory work that was previously unlicensed is now required to be licensed and compliant with FINRA and SEC regulations. At the same time, the costs associated with creating and maintaining your own broker dealer have increased substantially. For small teams, especially, this can be a difficult and an obviously draining experience to both maintain compliance with FINRA and other regulators while trying to focus on business, regardless of whether your business is focused on investment banking or wealth management. Becoming registered with Niagara on the Niagara Platform can help ease your focus on the overall compliance risks and tasks associated with your business while providing the flexibility and independence you need to conduct your business successfully. We strive to provide the supervisory structure and report on your activities while you focus on your business within the comprehensive and efficient supervisory structure we provide for you to operate within.

Wealth Management Services

Wealth Managers, whether functioning as solely as brokers, advisory or as a hybrid of broker/advisory, can benefit from joining the Niagara Platform which provides access to our clearing firm Raymond James for both broker dealer and fee-based account solutions. Raymond James is well known for its robust technology solutions for brokers and advisors in addition to various investment product solutions you can make available to your client. As well, brokers can provide various wealth management solutions to their clients that available on our Niagara Platform that includes various market alternative products, and variable annuity and variable life products.

Platform Services

Depending upon your business focus, Niagara will work with you to create access to various services to help you run your business including:

  • Access to Errors &Omissions (E&O) Insurance Coverage for brokerage and investment advisory services
  • Online Server access to store your documents, client account information, etc. online on Niagara’s FINRA compliant server
  • Email hosting and archive services to be in compliance with FINRA archiving and capture requirement
  • Access to legal assistance from our securities attorneys (AML Top 100) who partner with Niagara and who can provide special rates to those

Interested in the Niagara Platform?

Those interested in learning how Niagara can help your advisory, wealth management or investment banking business, contact for more information.