U.S. Based Broker Dealer
Securities Services for a Distributed Future
Headquartered in Stamford, Connecticut, Watchdog Capital, LLC is a U.S. Securities and Exchange Commission (“SEC”) registered broker-dealer. We are a member of the Financial Industry Regulatory Authority, Inc. (commonly known as “FINRA”).
As a broker-dealer, we offer a diverse range of retail and institutional-oriented securities and related services. Watchdog’s decentralized model allows us to sponsor and supervise licenses for registered representatives and independent firms. Our focus is the convergence of the latest developments in digital fin tech and established securities business.
We believe privacy is key to a free society. We believe in decentralized, distributed ledgers. We believe in open source technology and the ideals of freedom and free market economics.
We are registered to engage in supervision of registered persons, underwriting, fundraising, investment banking activities, such as buy and sell-side mergers and acquisitions, advisory services and securities transactions. We strive to provide each customer, investment company and professional in our network with access to high quality and compliant financial products and service offerings while recognizing the changing nature of technology.
Our Focus
The world of securities is changing.
Distributed ledger technology has the potential to transform the way stocks and other securities are offered, accounted for and how they move and settle in the global financial system.
At Watchdog Capital, our focus is on helping companies and individuals maintain registration and licenses to offer the latest investment products while complying with all relevant regulations.
We are cypherpunks. We believe that cutting edge and privacy focused businesses can thrive in a highly regulated environment. We are an institutional grade investment advisory offering highly customized boutique services with a focus on traditional assets, digital securities, and other distributed ledger technologies.
Our firm is approved for securities underwriting, investment banking and various, OTC, retail and institutional business. Watchdog’s decentralized platform allows firms and individuals who meet a strict due diligence process to affiliate with Watchdog and access its technical and operational capabilities. The firm is focused on the intersection of digital and traditional assets.
Our guidance can help you stay at the forefront of the industry and sustain your business in today’s ever-changing environment.
Our Management
We are well-staffed with experienced, qualified compliance supervisors to support the activities of our investment professionals. Our supervisors work diligently to help investment professionals comply with the complex system of securities laws, rules, and regulations governing their business.
Our Platform
We offer a platform of leadership, resources, strong in-house relationships, guidance, rigorous compliance, and education to our network of investment professionals. With our platform, you can grow your business with a team who understands and values independence. Additionally, our products, services, solutions, and network can help you grow your business in ways most wirehouses, banks, and traditional brokerage firms cannot. We offer flexibility and a focus on decentralized technology solutions.
OUR NETWORK of Investment ProfessionalS
We are building a network of independent investment professionals with a strong commitment to serving their customers and maintaining a high standard of compliance. We offer our services to existing firms and startups, registered representatives, new advisors, investment bankers, M&A advisors, and other investment professionals. We will work to help you build your business and keep current as regulations, technology and regulatory guidance continues to develop.
Who We Work With
Institutions
We work along-side you to build your program the way you’ve envisioned with our network and our suite of technology, wealth management services. Work with our subject-matter specialists who can help you grow your business, solve sophisticated planning issues, and create custom solutions for firms working with advanced technology.
Investment Professionals
As an independent broker-dealer, we offer the ability to build a business based on your needs and those of your customers. You are able to choose your areas of focus. More importantly, our independent status allows you to build and market your own brand or company identity with us serving as back office support.
Family offices and Individuals
Our Family Office Services provide a comprehensive suite of services directed toward single family offices, wealthy families, and the advisers who support them. Consider us an extension of your team and leverage our expertise in servicing your unique needs.
Affiliating or Partnering with Watchdog
The decentralized broker dealer platform allows independently owned startups and existing independent advisors and companies to have representatives affiliate with Watchdog under our supervisory umbrella, allowing you to use the capabilities of a registered broker dealer. Affiliated firms and individuals will work in a decentralized and distributed supervisory model with Watchdog Capital providing back office, technology and detailed compliance support. The process includes extensive approval, licensing and oversight requirements.
Currently the firm’s services are only open to select high net worth investors and through partnerships and affiliations. As the industry and regulatory environment matures, the firm will expand offerings, particularly with a focus on compliant and high quality digital securities. Any purchases, sales and offerings will go through a rigorous compliance approval process. The firm is open platform and will focus on SEC registered and regulated offerings.
We embrace open source software and the values of the open source community as well as privacy, security, and transparency.
Services and Support
Technology
We offer our affiliates and investment professionals a variety of technology solutions to carry out their business. In addition, we can assist you through recommending additional technology vendors and solutions.
Trading Platform
We provide our affiliates and investment professionals with the training and tools required to abide by and comply with the laws, rules, and regulations governing the securities industry.
Compliance
At the core of Watchdog Capital’s framework is our technology and compliance program. Our investment professionals adhere to a compliance program that is designed according to their practice and which considers the latest guidance from FINRA and the SEC. Our goal is to help our affiliates comply with all current regulations, particularly in the areas of digital assets which have unique risks and complexities.
Interested in learning more about Watchdog Capital?
Contact us, today.
We are currently registered and able to conduct business in all 50 states, Washington DC, Puerto Rico and the Virgin Islands. We are permitted to conduct business and work with clients only within the states and territories where we are registered.
Check the background of Watchdog Capital, LLC and your investment professional on FINRA’s BrokerCheck
Legal & Disclosures / Customer Relationship Summary / FINRA BrokerCheck
Important Disclosure: Securities and investment banking services offered through Watchdog Capital, LLC, a registered broker-dealer and FINRA/SIPC member.
Watchdog Capital, LLC
850 Pacific Street, Suite 1151 / Stamford, CT 06902
Direct 678-679-8635