Principal Underwriting Services

Herald can:

  • Serve as Principal Underwriter, Mutual Fund or Mutual Fund Wholesaler
  • Sponsor Private Placements and Private Funds
  • Registered Representative Services, and hold Registered Representative Licenses

Registered Representative Services

When you need support navigating adviser employee licensing registration, Herald Investment Marketing can offer supervision of representatives and sponsorship of securities licenses. Whether you need required training, recordkeeping, reviews or other support to ensure compliance, you can turn to Herald Investment Marketing for support.

Advertising Review

The number of fund and investment options available has been increasingly making investment management a very competitive arena. At the same time, a strict regulatory environment has meant organizations need to use caution when advertising their services. To succeed, your organization needs to create a clear brand identity, persuasively communicate your offerings and distinguish yourself from competitors.

Herald Investment Marketing can help with these issues with a strong advertising review, which can determine compliance and effectiveness of your current and projected advertising ideas. Herald Investment Marketing can evaluate all your advertising materials, including websites, brochures, paid advertisements and other materials for accuracy, compliance and strategy.

Contact Herald Investment Marketing

If your organization is ready to take a second look at advertising, registered representatives, distribution or dealer agreements, contact Herald Investment Marketing to discuss your needs. Herald Investment Marketing has worked with some of the largest funds in the country and our team of legal professionals, certified public accountants and other professionals are poised to help your organization become more efficient and compliant in seeking out new opportunities.