Ticker Markets operates a web platform that connects investors with private securities offered through an SEC‑registered Alternative Trading System, partnering with a member broker‑dealer for transaction execution. The service provides access to unregistered, speculative investment opportunities while clearly disclosing that it does not act as a broker‑dealer or provide investment advice, requiring users to seek professional counsel before participating.
Funding
Funding not disclosed
Founders
Product
Problem
Investors seeking private, unregistered securities often lack a centralized, compliant platform to discover and transact these offerings, facing fragmented information and regulatory uncertainty.
Solution
Ticker Markets operates a web-based portal that connects qualified investors with private securities offered through an SEC‑registered Alternative Trading System operated by a FINRA‑member broker‑dealer. The platform aggregates available offerings, provides required regulatory disclosures, and facilitates the transaction workflow without acting as a broker‑dealer or providing investment advice. Users are directed to obtain independent legal, tax, and financial counsel before participating, ensuring that the platform remains a neutral conduit for high‑risk, speculative investments.
Target Audience
Qualified investors and professional fund managers who are authorized to participate in private, unregistered securities offerings.
Features
- Direct integration with a FINRA‑member broker‑dealer’s SEC‑registered ATS for secure trade execution
- Comprehensive risk disclosures and links to the broker‑dealer’s Form CRS and privacy policies
- Clear separation of the portal from advisory services, with explicit statements that no investment recommendations are made
- User guidance to consult professional advisors, reinforcing compliance with securities regulations
- Secure website infrastructure hosted by Ticker Markets, a privately held entity, ensuring data protection and continuity