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COMMENT LETTERS - REGULATORY COMPLIANCE INFORMATION

Looking for BDs That Are For Sale

Are You Ready To Sell Your BD?

The tide of buyers and sellers of BDs ebbs and flows. Right now, there seems to be a lot of interest and a number of individuals have reached out to me looking for BDs and BD/IAs to buy.

So, if you have made your mind up to exit, don't just BDW (which is what the regulators want you to do). Instead, let's see if we can get you some money for your broker-dealer!

Give me a call, so I can put your name on our list of Active Sellers -- and that is key, you need to be ready, willing and able to sell.

I look forward to trying to help you, so you don't leave money on the table.

Paige

Paige W. Pierce

President & CCO

McLaughlin Ryder Investments, Inc.

paige@paige-pierce.com

801.949.5577

Paige Pierce