Boutique Investment Banking for Private Capital Markets
Colton Alexander Securities LLC is a FINRA-member broker-dealer providing private placement services to issuers and eligible investors.
Boutique Investment Banking for private markets
Colton Alexander Securities acts as placement agent and structuring advisor for private securities offerings. We guide issuers from structuring to closing, and connect eligible investors with privately offered securities.
Helping Corporate Clients with introductions to eligible private investors and lenders.
Helping Private Fund Managers and RIAs structure their Private Placement Offerings.
Helping Eligible and Institutional Investors seeking exposure to privately offered securities.
Raising capital, or considering a transaction? Let’s talk.
A FINRA-member broker-dealer focused on mergers and acquisitions and private placements
Colton Alexander Securities LLC provides investment-banking and placement-agent services in connection with private securities offerings, and M&A advisory to corporate clients. The firm does not carry customer accounts or receive, hold, or control customer funds or securities.
Advisory and placement, done right
Colton Alexander Securities LLC is registered as a broker-dealer with the U.S. Securities and Exchange Commission and is a member of the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC).
The Firm's current business includes mergers and acquisitions advisory and the placement of privately offered securities. The Firm acts as placement agent on private offerings, guiding issuers through structuring and documentation, and connecting them with eligible investors.
- Broker-Dealer (SEC)No. 8-70621
- FINRA MemberCRD No. 310915
- SIPC MemberYes
- HeadquartersSan Juan, Puerto Rico
- State RegistrationsCalifornia, Florida, New York, Puerto Rico
Clients we serve
Corporate clients pursuing M&A transactions, private issuers seeking to raise capital, and eligible investors seeking private market opportunities.
See how our services fit your needs
Our current services
Colton Alexander Securities LLC provides mergers & acquisitions advisory and private placement services to corporate clients, issuers, and eligible investors.
Core services
Mergers & Acquisitions
M&A advisory services to corporate clients across deal strategy, process, and execution.
Private Placements of Securities
Structuring and placement agent services for privately offered securities, including issuer onboarding, offering review, and investor suitability screening.
Capital Formation / Placement Agent
Guidance from initial offering design through documentation, investor onboarding, and closing.
Investor Distribution
Access to a network of eligible investors seeking private market opportunities.
Built for sophisticated participants
Companies pursuing mergers, acquisitions, and related strategic transactions.
Private companies raising capital who need a placement agent and hands-on structuring support.
Investors seeking exposure to privately offered securities.
Tell us about your transaction or offering
Let’s talk
Whether you’re considering a transaction or raising capital, our team is ready to help.
Firm Information
San Juan, Puerto Rico
Business Continuity Disclosure
Colton Alexander Securities LLC · Effective September, 2026
Colton Alexander Securities LLC (“CAS” or the “Firm”) maintains a business continuity plan (“BCP”) designed to help the Firm respond to emergencies and significant business disruptions. The plan is tailored to the Firm’s current business of mergers and acquisitions advisory and private placements. This disclosure is subject to change; a current copy of this disclosure is available on request.
Our business
CAS is a non-carrying, SEC-registered, FINRA-member broker-dealer. CAS does not maintain customer accounts and does not receive, hold, control, or owe customer funds or securities. Because CAS does not custody those assets, its continuity plan does not provide for customer access to accounts, funds, or securities held by CAS; a client should contact the bank, escrow agent, issuer, custodian, or other party that actually holds the relevant funds or securities.
How the Firm plans to respond
The steps the Firm takes will depend on the nature and scope of the disruption. Depending on the circumstances, the Firm may use remote-work arrangements or an alternate location, restore information from backups, use alternate telephone or email methods, contact critical service providers and counterparties, and communicate with its regulators. The Firm gives priority to employee safety, protection of confidential information, restoration of essential communications and records, and the orderly handling of time-sensitive obligations. A disruption affecting only the Firm may permit faster recovery than a regional or widespread event that also affects telecommunications, utilities, service providers, or counterparties; the Firm cannot guarantee uninterrupted availability of every service.
Communications during a disruption
During a significant disruption, the Firm will provide available updates through its website, email, telephone, or other practical means. For current contact information, or to request a written copy of this disclosure, contact the Firm at the email address or telephone number published on this website. If one method is unavailable, please try another.
Changes
The Firm may revise its business-continuity arrangements as its business, locations, systems, service providers, or regulatory obligations change. Updated information will be posted on this website.
Effective September, 2026.
For questions about the Firm's Business Continuity Plan, please contact us.
Website Privacy Policy
Colton Alexander Securities LLC · Effective September, 2026
Colton Alexander Securities LLC (“CAS,” “we,” or “us”) is a broker-dealer registered with the U.S. Securities and Exchange Commission and a member of FINRA and SIPC. This policy explains how we handle personal information received through this website. This website is intended for institutional and business audiences; the Firm currently does not offer services to retail investors and does not conduct transactions through this website.
Information we receive
When you contact us through this website, we may receive your name, email address, telephone number, company or organization, role, inquiry type, and the contents of your message, together with any other information you choose to send. Our website host and security providers may also generate limited technical information, such as an IP address, browser or device type, access time, and security logs. We ask that you not send account numbers, government identifiers, or other confidential information through the website contact form.
How we use it
We use the information you provide to respond to inquiries, communicate about the Firm and its services, maintain records as required by law and regulation, protect our website and systems, and prevent misuse.
How we share it
We do not sell personal information. We may share it with service providers acting on our behalf under confidentiality obligations, with our affiliates as permitted by law, and with regulators, law enforcement, or courts when required or permitted by law.
Safeguards and retention
We maintain administrative, technical, and physical safeguards designed to protect the personal information we collect, and we retain information as long as reasonably necessary for the purposes above and to satisfy legal and regulatory recordkeeping requirements. No system is completely secure.
Regulation S-P
As a broker-dealer, CAS is subject to applicable privacy and safeguarding requirements, including the SEC’s Regulation S-P. Where required, CAS provides separate privacy notices directly to consumers or customers. This Website Privacy Policy does not replace any notice CAS is required to deliver under applicable law.
Changes and contact
We may update this policy from time to time; the current version will be posted on this website with its effective date. Questions may be directed to the Firm at the email address or telephone number published on this website. This website is not directed to children under 13.
For questions about this Privacy Policy, please contact us.