Hampton Securities Limited
Hampton Securities Limited is a Toronto-based CIRO-regulated Canadian broker-dealer (founded 1996, 11–50 employees) that acts as lead or exclusive agent for private placements, LIFE offerings, and IPOs on TSX-V and CSE, primarily serving junior resource and emerging growth issuers with transaction-based fees and warrants.
- Company typePrivate
- Founded1996
- HeadquartersToronto, Canada
- Headcount11–50
- GTM typeB2B
- OfferingServices
What Hampton Securities Limited does
Hampton Securities Limited is a Toronto-based, CIRO-regulated Canadian broker-dealer founded in 1996, employing 11–50 people and operating exclusively in the domestic Canadian capital markets. The firm acts as lead agent, exclusive agent, or finder for private placements, Listed Issuer Financing Exemption (LIFE) offerings, and IPOs on the TSX Venture Exchange and Canadian Securities Exchange, with a primary focus on junior resource and mining issuers and secondary exposure to emerging growth companies in adjacent verticals such as quantum computing and residential real estate fintech.
Its business model is transaction-based: the firm earns cash commissions — typically 6% of capital raised — plus broker warrants on lead and exclusive agent mandates, and finder's fees plus finder's warrants on non-brokered placements. Distribution is conducted through direct capital markets relationships, institutional investor networks (including high-profile backers such as Eric Sprott), co-lead agent syndicates with peer broker-dealers such as Research Capital Corp., and regulatory-channel visibility through SEDAR+ filings and TSX-V announcements. The firm does not disclose its own revenue, headcount trajectory, or ownership structure, and operates without a disclosed parent entity.
The firm is currently operating under CIRO sanctions issued in February 2026: a $250,000 fine for failing to maintain proper books and records between March and September 2020, a mandated new CEO and Ultimate Designated Person appointment within 90 days, and enhanced compliance reporting. Peter Michael Deeb, previously UDP/Acting CCO, received a permanent bar from the UDP role. No technology platform, proprietary models, or AI/ML capabilities are disclosed; the firm's value proposition is grounded in regulatory licensure, issuer origination, and institutional distribution relationships rather than technology differentiation.
Hampton Securities Limited firmographics
Firmographics- Name
- Hampton Securities Limited
- Legal name
- Hampton Securities Limited
- Website
- https://hamptonsecurities.com
- Company type
- Private
- Founded year
- 1996
- Operating status
- Operating
- Headcount range
- 11–50 employees
- Short description
- Hampton Securities Limited is a Toronto-based CIRO-regulated Canadian broker-dealer (founded 1996, 11–50 employees) that acts as lead or exclusive agent for private placements, LIFE offerings, and IPOs on TSX-V and CSE, primarily serving junior resource and emerging growth issuers with transaction-based fees and warrants.
- Ownership category
- akta.pro rank
Hampton Securities Limited industry classification
Industry- Product category
- Broker-Dealer Services
- NAICS
- Securities and Commodity Contracts Intermediation and Brokerage (5231), Miscellaneous Intermediation (52391)
- SIC
- Security Brokers, Dealers & Flotation Companies (6211)
- akta.pro primary industry
- Capital Markets Advisory (Equity Placement, JV & Recapitalization) (BPAJABAL)
- akta.pro secondary industry
- Real Estate Capital Markets Brokerage (Debt & Equity Placement) (FSAEAJAK)
Keywords
Where Hampton Securities Limited is headquartered
LocationHeadquarters
- HQ city
- Toronto
- HQ country
- Canada
- HQ region
- North America
Offices1 record
Markets served
Hampton Securities Limited business model
Business model- GTM type
- B2B
- Offering type
- Services
- Cost components
- Personnel, Operations, Technology or R&D, Marketing or Sales, Others
Revenue model
- Capital Markets Advisory and Brokerage: Earns commissions and fees from acting as lead agent, exclusive agent, or finder for private placements, IPOs, and other capital markets transactions. Receives cash commissions (typically 6%) plus broker warrants as compensation for raising capital for client companies.
- Finder's Fees: Acts as finder for non-brokered private placements, receiving finder's fees and warrants in connection with capital raises for junior exploration and resource companies.
Go-to-market motion2 records
Distribution channels3 records
Marketing channels2 records
Hampton Securities Limited product offering
Product offeringCore offering
Hampton Securities Limited is a Toronto-based private broker-dealer that operates in Canadian capital markets, acting as lead agent, exclusive agent, or finder for private placements, IPOs, and Listed Issuer Financing Exemption (LIFE) offerings. The firm primarily serves junior resource, mining, critical minerals, and emerging growth companies seeking to raise capital on TSX-V and the Canadian Securities Exchange, earning cash commissions (typically 6%) plus broker warrants.
Differentiator
Problem solved
Functional benefit
Products and services
- Private Placement Brokerage
- Initial Public Offering Services
Quantifiable outcome
- $20.5M raised for Max Power Mining Corp in largest company history
- +2 more outcomes
Companies that use Hampton Securities Limited
Customer profileNamed customers5 records
Segments2 records
Ideal customer profiles2 records
Hampton Securities Limited technology and API
TechnologyTechnology focussed No
API detail
- Has API
- No
- API docs
- API detail
Core technology
AI maturity
App detail
Hampton Securities Limited partnerships and signals
Strategic signalPartnerships
One partnership is on record.
- Canadian Investment Regulatory Organization (CIRO)minorSubject to regulatory oversight and disciplinary action. CIRO hearing panel issued sanctions against Hampton Securities Ltd., fining the company $250,000 and requiring appointment of new CEO and UDP within 90 days with enhanced compliance reporting.
Scale indicators4 records
Recent moves6 records
Expansion highlights4 records
Hampton Securities Limited competitors and assessment
Company assessmentDirect peers
- Research Capital Corp: Canadian independent broker-dealer specializing in TSX-V and CSE equity financings for junior resource and growth companies. Direct co-lead agent partner with Hampton on multiple mandates (e.g., Critical Minerals Americas), with highly overlapping client roster and revenue model.
- Haywood Securities Inc. Canadian independent broker-dealer focused on the resource and energy sectors, providing equity financing, M&A advisory, and institutional research. Closely comparable to Hampton in TSX-V junior mining mandate focus and commission-driven revenue model.
- Cormark Securities: Toronto-based Canadian broker-dealer providing equity research, institutional sales, and corporate finance for growth and resource issuers. Comparable to Hampton in client base (junior and mid-market Canadian issuers) and transaction-fee business model.
- Beacon Securities Limited: Canadian independent investment dealer focused on small-to-mid cap companies, particularly in resources and technology. Competes with Hampton for lead-agent and co-agent mandates on TSX-V private placements.
- Mackie Research Capital Corporation: Canadian independent full-service broker-dealer serving small and mid-cap issuers across mining, technology, and life sciences. Closely mirrors Hampton's mandate profile and lead-agent role on Canadian private placements.
- PI Financial Corp. Vancouver-based Canadian independent broker-dealer focused on mining, energy, and technology sectors. Comparable to Hampton in lead-agent role on TSX-V private placements and concentration in resource issuers.
- Echelon Wealth Partners: Canadian independent investment dealer serving growth and resource issuers with capital markets, advisory, and institutional brokerage services. Comparable scope of activities and client profile to Hampton.
- Paradigm Capital Inc. Toronto-based independent Canadian broker-dealer focused on small-to-mid cap issuers, providing equity financing and advisory services. Direct comparable on client size, deal type, and revenue model to Hampton.
Broad incumbents
- Canaccord Genuity Group: Larger Canadian-headquartered global capital markets firm with a dedicated resource and growth-company practice. Overlaps with Hampton's TSX-V junior resource mandate but operates at significantly greater scale and global distribution reach.
- TD Securities: Investment banking arm of TD Bank Group providing full-service capital markets including equities, fixed income, and advisory. Larger incumbent that competes with Hampton for mandates where junior issuers graduate to mid-tier offerings.
Market position
Strengths5 records
Weaknesses5 records
Competitive moat3 records
Key risks6 records
Key highlights7 records
Customer concentration
Hampton Securities Limited social profiles
Digital presenceHampton Securities Limited financial estimates
Financial estimateRevenue estimate
Valuation estimate
Hampton Securities Limited leadership team
Management profileNumber of profiles
Profiles4 records
Hampton Securities Limited funding detail
Funding detailFunding overview
Funding rounds
Investors
Funding detail is available on the Subscription and Enterprise plan.Contact sales →
Hampton Securities Limited M&A and investment
M&A and investmentM&A
Investments2 records
M&A and investment is available on the Subscription and Enterprise plan.Contact sales →
Frequently asked questions about Hampton Securities Limited
What does Hampton Securities Limited do?
Hampton Securities Limited is a Toronto-based private broker-dealer that operates in Canadian capital markets, acting as lead agent, exclusive agent, or finder for private placements, IPOs, and Listed Issuer Financing Exemption (LIFE) offerings. The firm primarily serves junior resource, mining, critical minerals, and emerging growth companies seeking to raise capital on TSX-V and the Canadian Securities Exchange, earning cash commissions (typically 6%) plus broker warrants.
Is Hampton Securities Limited a public or private company?
Hampton Securities Limited is a private company. It is classified as unknown and is currently operating.
When was Hampton Securities Limited founded?
Hampton Securities Limited was founded in 1996. It employs 11 to 50 people.
Where is Hampton Securities Limited based?
Hampton Securities Limited is headquartered in Toronto, Canada, in the North America region.
How does Hampton Securities Limited make money?
Two revenue lines are on record. Capital Markets Advisory and Brokerage is the primary driver. The others are finder's Fees.
Who are Hampton Securities Limited's main competitors?
Direct peers on record are Research Capital Corp, Haywood Securities Inc., Cormark Securities, Beacon Securities Limited, Mackie Research Capital Corporation, PI Financial Corp., Echelon Wealth Partners and Paradigm Capital Inc.. Broad incumbents are Canaccord Genuity Group and TD Securities.
Does Hampton Securities Limited have an API?
No public API is recorded for Hampton Securities Limited.
What industry is Hampton Securities Limited in?
Hampton Securities Limited's product category is Broker-Dealer Services. Its primary akta.pro industry code is BPAJABAL, Capital Markets Advisory (Equity Placement, JV & Recapitalization), with a secondary code of FSAEAJAK, Real Estate Capital Markets Brokerage (Debt & Equity Placement). Its NAICS code is 5231 and its SIC code is 6211.