Univest Securities

What Univest Securities does

Univest Securities, LLC is a privately held, boutique full-service investment bank and SEC-registered broker-dealer headquartered at 75 Rockefeller Plaza in New York, founded in 1993 and FINRA-registered since 1994. The firm operates a unified platform spanning Investment Banking, Capital Markets Advisory, Sales & Trading, and Wealth Management, with a distinct specialization in serving Chinese and other international issuers seeking access to US equity capital markets on NASDAQ and NYSE. Its transaction toolkit includes registered direct offerings, PIPE transactions, IPOs, follow-on offerings, private placements, equity line facilities, and note purchase agreements, with the firm typically acting as sole placement agent or bookrunner.

Underlying the franchise is a standard broker-dealer technology stack: a live online trading platform hosted via a third-party (Etnasoft) interface, the REDI order platform for routing customer-directed orders to SpeedRoute, and clearing/execution handled through Velox Clearing and Curvature Securities under maker-taker pricing. The firm has completed approximately 100 transactions and raised over $1.8 billion for issuers globally since 2019, ranking 5th in Q1 2026 and 7th in full-year 2025 on the PlacementTracker US PIPE and Private Placement league tables by number of transactions.

The revenue model is multi-stream and transaction-driven: brokerage commissions on each transaction (plus clearing pass-through exchange and SEC fees), placement agent and bookrunner fees on capital markets transactions (one-time professional services revenue), investment banking advisory fees, sales & trading / market making spreads, and wealth management fees for high-net-worth clients. GTM is sales-led and relationship-driven, targeting enterprise clients (predominantly small/mid-cap Chinese issuers) through direct outreach, conference participation, and strategic partnerships — most notably the April 2025 Nestpoint Group strategic investment that brought government affairs capabilities from Dallas and Washington D.C. to support cross-border deal flow.

Name

Univest Securities

Legal name

Univest Securities, LLC

Website

https://univest.us

Company type

Private

Founded year

1993

Operating status

Operating

Headcount range

11–50 employees

Short description

Univest Securities is a privately held, FINRA-registered boutique investment bank and broker-dealer founded in 1993, specializing in US capital markets access for Chinese and international small/mid-cap issuers via PIPEs, registered direct offerings, IPOs, and placement agent services.

Ownership category

akta.pro rank

Product category

Investment Banking

NAICS

Investment Banking and Securities Intermediation (52315), Securities and Commodity Contracts Intermediation and Brokerage (5231), Portfolio Management and Investment Advice (523940)

SIC

Security Brokers, Dealers & Flotation Companies (6211), Security & Commodity Brokers, Dealers, Exchanges & Services (6200)

akta.pro primary industry

Full-Service Brokerage (Wirehouse/Universal) (FSAEACAA)

Keywords

• Investment banking
• Capital markets advisory
• Broker-dealer services
• Registered direct offerings
• Wealth management

Headquarters

HQ city

New York

HQ country

United States

HQ region

North America

Offices2 records

Markets served

GTM type

B2B

Offering type

Services

Cost components

Personnel, Operations, Technology or R&D, Marketing or Sales, Others

Revenue model

1. Brokerage Commissions: Commission charges for each transaction plus clearing firm's pass-through charges (exchange and SEC fees)
2. Placement Agent Fees: Fees earned as sole placement agent or bookrunner for registered direct offerings, PIPEs, IPOs, and other capital markets transactions
3. Investment Banking Advisory: Advisory fees for capital markets consulting, M&A advisory, and strategic financing solutions
4. Sales & Trading: Market making, sales and trading services for institutional and retail clients
5. Wealth Management: Disciplined, personalized wealth management services for high net worth clients

Pricing tiers

Go-to-market motion2 records

Distribution channels3 records

Marketing channels4 records

Core offering

Univest Securities is a boutique full-service investment bank and FINRA-registered broker-dealer providing Investment Banking, Capital Markets Advisory, Sales & Trading, and Wealth Management services to corporate and individual clients globally. The firm acts as sole placement agent or bookrunner for registered direct offerings, PIPE transactions, IPOs, follow-on offerings, private placements, and equity line facilities, while also offering brokerage execution and personalized wealth management. Founded in 1993, the firm has completed approximately 100 transactions and raised over $1.8 billion for issuers globally since 2019.

Product overview

Univest Securities is a boutique full-service investment bank offering a unified suite of financial services comprised of Investment Banking, Capital Markets Advisory, Sales & Trading, and Wealth Management. The company provides brokerage and execution services, market making, and acts as placement agent for various transaction types including registered direct offerings, PIPE transactions, private placements, IPOs, equity line facilities, and follow-on offerings. Founded in 1993, the firm has completed approximately 100 transactions and raised over $1.8 billion in capital for issuers globally since 2019.

Differentiator

Problem solved

Functional benefit

Products and services

• Investment Banking Full-service investment banking advisory and capital raising for corporate and institutional clients, including transaction structuring, deal execution, and strategic financing solutions. Targets companies seeking access to US capital markets.
• Capital Markets Advisory Advisory services for equity and debt capital markets transactions, building enduring partnerships with strategic investors for issuers and corporate clients.
• Sales & Trading Brokerage execution, market making, sales and trading services for institutional and retail clients globally, communicating and delivering trading ideas and execution quality.
• Wealth Management Disciplined, personalized, and experienced wealth management services delivered to individual (high net worth) clients.
• Brokerage and Execution Services Brokerage and execution services for securities transactions, including market making capabilities, with orders routed through clearing partners Velox Clearing and Curvature Securities.
• Registered Direct Offerings Facilitates registered direct offerings where companies sell securities directly to institutional investors, with Univest acting as sole placement agent.
• PIPE Transactions Manages Private Investment in Public Equity (PIPE) transactions for clients seeking capital solutions.
• Private Placement Offerings Arranges private placement offerings for companies seeking to raise capital from accredited investors.
• Initial Public Offerings (IPO) Acts as underwriter, sole book runner, or co-manager for companies conducting initial public offerings on US exchanges.
• Equity Line Facilities Structures equity line facilities allowing companies to issue and sell secured pre-paid purchases and shares over time.
• Follow-On Offerings Manages follow-on public offerings for companies raising additional capital after initial listing.

Quantifiable outcome

• $1.8 billion+ capital raised for issuers globally since 2019
• +2 more outcomes

Named customers10 records

Segments3 records

Ideal customer profiles3 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Integration4 records

Feature2 records

Partnerships

Two partnerships are on record, tiered core.

• Velox Clearing, LLCcoreTechnology or IntegrationPrimary clearing firm partner for order routing and execution of all securities transactions. Routes orders and provides execution services with maker-taker pricing arrangements.
• Curvature Securities, LLCcoreTechnology or IntegrationClearing firm partner for order routing and execution services, operating alongside Velox Clearing for securities order handling.

Scale indicators5 records

Recent moves5 records

Expansion highlights5 records

Market position

Competitive moat4 records

Key highlights6 records

Customer concentration

• LinkedInlinkedin.com/company/univest-securities-llc

Compliance3 records

Revenue estimate

Valuation estimate

Number of profiles

Profiles6 records

Funding overview

Funding rounds1 record

Investors1 record

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A

Investments

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about Univest Securities