Overview

Plan B Securities, Inc. (PBII) is a very unique hybrid limited BD/RIA. This site will not let us list our BD. PBII is a FINRA member firm. We are looking for someone who is selling their book of business because of transition to an RIA firm, lack of production requirements or retiring. We offer an ongoing period certain payout of the assets transferred and maintained. This provides for a potentially greater payout and an income stream. Besides, who really wants to retire full time.

PBII can be very creative with the purchase arrangement. Most recent scenario was an RR who was looking to transition into RIA (Series 65) business and having to leave behind FINRA (Series 7). Plan B Investments, Inc. signed a non-compete for the RIA business. Another idea could be an ongoing salaried position with PBII. In other words, we will listen to all ideas.

Our goal is to truly act as a fiduciary to the client. We are not captive or beholden to any investment company. We have offer IRA owned Real Estate, a nationwide CD desk, hourly consulting as well as the usual managed money account and variable annuity options. We have also have a relationship with a Trust company for estate planning issues.

Looking for opportunities from San Jose to Burbank and everything in-between.

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