Frequently Asked Questions
Is Focus Strategies a broker dealer?
Yes. Focus Strategies is a FINRA registered broker dealer and engages as an exclusive advisor to clients. FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA is authorized by Congress to protect America’s investors by making sure the securities industry operates fairly and honestly. Focus Strategies abides by all FINRA regulations –
a re-enforcement of Focus Strategies high ethical standards and commitment to integrity.
Does Focus Strategies speak on panels?
Yes. As a team, Focus Strategies often speaks on panels for various industries and gives periodic market updates based on their experience in the current economic environment. Contact us at 512-477-3280 if you would like to inquire about speaking engagements.
Does Focus Strategies invest directly in companies?
As an investment banking firm, Focus Strategies does not invest directly in its clients. Rather, we represent the client by marketing their business to multiple parties to get the best possible price and terms available from the marketplace. Focus Strategies has separate business operations whereby private investments are made through a private investment company but these entities are distinctly separate and follow all appropriate regulations and processes to maintain such separation.
Are subordinated debt and mezzanine debt the same?
These terms are often used interchangeably and refer to a loan or security that ranks below other loans and securities with regard to claims on a company’s assets or earnings. Subordinated debt may also be called a junior security or subordinated loan.
Is private placement the same as raising capital?
These terms are often used interchangeably and refer to the raising of equity, debt or a combination of equity and debt. Capital is raised from private sources as opposed to issuing stock on a public market exchange.
Is Focus Strategies a tax advisor?
No. As a company, Focus Strategies does not provide tax advisory services, inheritance structuring or legal counsel. However, for every client and every project, Focus Strategies often assembles all of the team roles needed for the transaction at hand and has a large network of trusted tax, legal and other specialty professionals to support client needs.
Is Focus Strategies a stock broker?
No. Focus Strategies is not a securities and exchange broker and does not sell or purchase stock on behalf of clients. In the event a client transaction occurs with a public company, Focus Strategies may advise on the valuation and issuance of stock within a transaction but does not engage in security sales.
Is Focus Strategies a business broker?
Since we represent companies who are selling, we do act in a broker role. However, business brokers typically represent smaller clients than Focus Strategies. If you would like to know if you should hire a business broker or an investment bank, please contact us at 512-477-3280.