Developer docs
API playgroundTry for free, no card

Search company profiles

CIM Securities, LLC (Member FINRA / SiPC)

Full company profile

uuid000kb53

Namestring
CIM Securities, LLC (Member FINRA / SiPC)
Legal namestring
CIM Securities, LLC
Websiteurl
cimsecurities.com
Company typeenum
Private
Founded yearint
2002
Operating statusenum
Operating
Ownership categoryenum
Headcount rangeband
1–10
akta.pro rankint
HeadquartersWall Township, United States
HQ citystring
Wall Township
HQ countrystring
United States
HQ regionstring
North America
Markets served

Serves global market

Offices1 record

Each record includes

City, Country, Type, Description, Source

Keyword5 values
broker-dealer services, private placements, capital markets transactions, micro-cap investment banking, institutional securities brokerage
Industry2 codes
PRIMARYBPAHAOAL
Capital Markets Advisory (IPO Readiness, SPAC, ECM/DCM Advisory)
Business & Public Services/Professional Services (Legal, Accounting, Consulting)/M&A, Transaction & Restructuring Advisory
SECONDARYFSACAAAI
Equity Capital Markets Advisory (Equity Issuance Strategy & Readiness)
Financial & Insurance/Capital Markets & Securities/Equity Capital Markets (ECM)
NAICS code2 codes
  • Investment Banking and Securities Intermediation523150
  • Securities and Commodity Contracts Intermediation and Brokerage5231
SIC code1 code
  • Security Brokers, Dealers & Flotation Companies6211
Product category
Investment Banking / Broker-Dealer Services
Social media profiles1 record
GTM motion1 record

Each record includes

Type, Description, Source

Revenue model1 record
1Brokerage Transaction Fees
TypeTransaction Fee
Description

The firm generates revenue through transaction-based brokerage services, acting as placement agent or finder in connection with private securities offerings and capital raising transactions. Revenue is derived from fees on completed transactions rather than advisory retainers or recurring fees.

cimsecurities.com
Marketing channels2 records

Each record includes

Title, Type, Stage, Description, Source

Distribution channels1 record

Each record includes

Title, Type, Scope, Target buyer, Description, Source

Cost components3 values
Personnel, Operations, Others
GTM typeB2B
B2B
Offering typeServices
Services
Core offering1 text field

CIM Securities is a FINRA-registered broker-dealer that provides transaction-based capital markets services to institutional clients, acting solely in an agency capacity. The firm originates and executes private placements, pre-IPO financings, PIPEs, bridge loans, IPOs, and follow-on offerings as placement agent or finder for micro-cap and small-cap issuers. It does not provide investment advisory, valuation, fairness opinion, or portfolio management services, and earns revenue from transaction-based placement and finder's fees.

Differentiator
Functional benefit
Problem solved
Product overview1 text field

CIM Securities, LLC is a registered broker-dealer providing transaction-based capital markets services to institutional clients. The firm operates as a single unified offering platform combining Brokerage Services, Private Placements, Capital Markets Transactions, and Institutional Coverage. Additional specialized Corporate Finance Services include bridge loans, PIPEs, IPOs, and follow-on offerings. The firm focuses on micro-cap and small-cap market companies across healthcare, consumer, energy, media, and technology sectors, acting solely in an agency capacity without providing investment advisory services.

Product and service5 records
1Brokerage Services
CategoryBroker-Dealer Services
2Private Placements
CategoryCapital Markets / Private Placements
3Capital Markets Transactions
CategoryInvestment Banking / Capital Markets
4Institutional Coverage
CategoryInstitutional Sales & Coverage
5Corporate Finance Services
CategoryCorporate Finance
Scale indicator5 records

Each record includes

Type, Value, Description, Source

Recent move4 records

Each record includes

Date, Type, Title, Description, Source

Expansion highlight4 records

Each record includes

Type, Description

Peers10 records
1EF Hutton
TypeDirect peer
Description

Independent broker-dealer providing capital markets and investment banking services to small and mid-cap issuers - directly comparable in scope and client size to CIM Securities.

2Maxim Group
TypeDirect peer
Description

Full-service investment bank serving micro-cap and small-cap companies with private placements, PIPEs, and IPOs - directly competitive in CIM's core niche.

3ThinkEquity
TypeDirect peer
Description

Boutique investment bank focused on ECM origination, PIPEs, and IPOs for emerging growth issuers - closely comparable transaction-based model to CIM.

4Roth Capital Partners
TypeDirect peer
Description

Direct micro-cap and small-cap investment bank focused on private placements, IPOs, and follow-on offerings for growth companies - identical core mandate to CIM Securities, and a former employer of CIM VP Jack Myers.

5WestPark Capital
TypeDirect peer
Description

Middle-market broker-dealer focused on PIPEs, IPOs, and private placements for emerging growth companies - directly overlapping CIM's product set and a former employer of CIM VP Jack Myers.

6Aegis Capital Corp.
TypeDirect peer
Description

Small-cap focused broker-dealer executing private placements, public offerings, and capital raises for growth-stage companies - directly overlapping CIM's markets.

7The Benchmark Company
TypeDirect peer
Description

Institutional broker-dealer and investment bank focused on small and emerging growth companies through private placements and public offerings - directly comparable niche and product set.

8D. Boral Capital
TypeDirect peer
Description

Small-cap broker-dealer specializing in PIPEs, private placements, IPOs, and follow-on offerings for emerging growth issuers - overlapping product set and target issuers.

9B. Riley Financial
TypeBroad incumbent
Description

Diversified financial services firm with a much larger capital markets platform serving small and mid-cap issuers through private placements and ECM transactions - serves the same client base from a much broader portfolio base.

10Ladenburg Thalmann
TypeBroad incumbent
Description

Full-service investment bank and broker-dealer with a small-cap ECM platform active in private placements and IPOs - broader product mix but overlapping micro-cap focus.

Market position
Strengths5 records

Each record includes

Headline, Details, Source

Weaknesses5 records

Each record includes

Headline, Details, Source

Competitive moat4 records

Each record includes

Type, Details

Key risks5 records

Each record includes

Headline, Details, Source

Key highlights6 records

Each record includes

Headline, Details, Source

Customer concentration

Classification, Details

Segment7 records

Each record includes

Title, Type, Primary, Description, Pain point addressed, Use case, Source

Ideal customer profile2 records

Each record includes

Profile, Firmographic size, Sales motion, Sales cycle length, Buying structure, Purchase trigger, Buyer persona, Geography, Industry vertical, Primary use case, Description, Pain points, Evidence proof points, Target buyer

Technology focused
No
API detail
Has APIbool
No

Docs URL, Description

AI maturity
App detail

Has app

Core technology
Revenue estimate
Valuation estimate
Number of profiles
Profiles5 records

Each record includes

Name, Designation, Designation category, Overview, Profile commentary, Source

No data
Compliance2 records

Each record includes

Name, Class, Description

Funding overview

Funding stage, Last funding date, Total funding USD

Funding rounds

Each record includes

Round, Amount USD, Date, Pre money valuation, Total investors, Investors, News

Investors

Each record includes

Name, Type, Date of entry, Rounds participated, Website

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

M&A

Each record includes

Name, Acquisition type, Announced date, Completed date, Status, Website, News

Investment

Each record includes

Name, Round, Announced date, Lead investor, Website, News

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

CIM Securities, LLC (Member FINRA / SiPC)

Investment Banking / Broker-Dealer Servicescimsecurities.com

CIM Securities, LLC (Member FINRA / SiPC) firmographics

Firmographics
Name
CIM Securities, LLC (Member FINRA / SiPC)
Legal name
CIM Securities, LLC
Website
https://cimsecurities.com
Company type
Private
Founded year
2002
Operating status
Operating
Headcount range
1–10 employees
Ownership category
akta.pro rank

CIM Securities, LLC (Member FINRA / SiPC) industry classification

Industry
Product category
Investment Banking / Broker-Dealer Services
NAICS
Investment Banking and Securities Intermediation (523150), Securities and Commodity Contracts Intermediation and Brokerage (5231)
SIC
Security Brokers, Dealers & Flotation Companies (6211)
akta.pro industry
PRIMARYBPAHAOAL
Capital Markets Advisory (IPO Readiness, SPAC, ECM/DCM Advisory)
Business & Public Services/Professional Services (Legal, Accounting, Consulting)/M&A, Transaction & Restructuring Advisory
SECONDARYFSACAAAI
Equity Capital Markets Advisory (Equity Issuance Strategy & Readiness)
Financial & Insurance/Capital Markets & Securities/Equity Capital Markets (ECM)

Keywords

  • Broker-dealer services
  • Private placements
  • Capital markets transactions
  • Micro-cap investment banking
  • Institutional securities brokerage

Where CIM Securities, LLC (Member FINRA / SiPC) is headquartered

Location

Headquarters

HQ city
Wall Township
HQ country
United States
HQ region
North America

Offices1 record

Markets served

CIM Securities, LLC (Member FINRA / SiPC) business model

Business model
GTM type
B2B
Offering type
Services
Cost components
Personnel, Operations, Others

Revenue model

  1. Brokerage Transaction Fees: The firm generates revenue through transaction-based brokerage services, acting as placement agent or finder in connection with private securities offerings and capital raising transactions. Revenue is derived from fees on completed transactions rather than advisory retainers or recurring fees.

Go-to-market motion1 record

Distribution channels1 record

Marketing channels2 records

CIM Securities, LLC (Member FINRA / SiPC) product offering

Product offering

Core offering

CIM Securities is a FINRA-registered broker-dealer that provides transaction-based capital markets services to institutional clients, acting solely in an agency capacity. The firm originates and executes private placements, pre-IPO financings, PIPEs, bridge loans, IPOs, and follow-on offerings as placement agent or finder for micro-cap and small-cap issuers. It does not provide investment advisory, valuation, fairness opinion, or portfolio management services, and earns revenue from transaction-based placement and finder's fees.

Product overview

CIM Securities, LLC is a registered broker-dealer providing transaction-based capital markets services to institutional clients. The firm operates as a single unified offering platform combining Brokerage Services, Private Placements, Capital Markets Transactions, and Institutional Coverage. Additional specialized Corporate Finance Services include bridge loans, PIPEs, IPOs, and follow-on offerings. The firm focuses on micro-cap and small-cap market companies across healthcare, consumer, energy, media, and technology sectors, acting solely in an agency capacity without providing investment advisory services.

Differentiator

Problem solved

Functional benefit

Products and services

  • Brokerage Services
  • Private Placements
  • Capital Markets Transactions
  • Institutional Coverage
  • Corporate Finance Services

Companies that use CIM Securities, LLC (Member FINRA / SiPC)

Customer profile

Segments7 records

Ideal customer profiles2 records

CIM Securities, LLC (Member FINRA / SiPC) technology and API

Technology

Technology focussed No

API detail

Has API
No
API docs
API detail

Core technology

AI maturity

App detail

CIM Securities, LLC (Member FINRA / SiPC) partnerships and signals

Strategic signal

Scale indicators5 records

Recent moves4 records

Expansion highlights4 records

CIM Securities, LLC (Member FINRA / SiPC) competitors and assessment

Company assessment

Direct peers

  • EF Hutton: Independent broker-dealer providing capital markets and investment banking services to small and mid-cap issuers - directly comparable in scope and client size to CIM Securities.
  • Maxim Group: Full-service investment bank serving micro-cap and small-cap companies with private placements, PIPEs, and IPOs - directly competitive in CIM's core niche.
  • ThinkEquity: Boutique investment bank focused on ECM origination, PIPEs, and IPOs for emerging growth issuers - closely comparable transaction-based model to CIM.
  • Roth Capital Partners: Direct micro-cap and small-cap investment bank focused on private placements, IPOs, and follow-on offerings for growth companies - identical core mandate to CIM Securities, and a former employer of CIM VP Jack Myers.
  • WestPark Capital: Middle-market broker-dealer focused on PIPEs, IPOs, and private placements for emerging growth companies - directly overlapping CIM's product set and a former employer of CIM VP Jack Myers.
  • Aegis Capital Corp. Small-cap focused broker-dealer executing private placements, public offerings, and capital raises for growth-stage companies - directly overlapping CIM's markets.
  • The Benchmark Company: Institutional broker-dealer and investment bank focused on small and emerging growth companies through private placements and public offerings - directly comparable niche and product set.
  • D. Boral Capital: Small-cap broker-dealer specializing in PIPEs, private placements, IPOs, and follow-on offerings for emerging growth issuers - overlapping product set and target issuers.

Broad incumbents

  • B. Riley Financial: Diversified financial services firm with a much larger capital markets platform serving small and mid-cap issuers through private placements and ECM transactions - serves the same client base from a much broader portfolio base.
  • Ladenburg Thalmann: Full-service investment bank and broker-dealer with a small-cap ECM platform active in private placements and IPOs - broader product mix but overlapping micro-cap focus.

Market position

Strengths5 records

Weaknesses5 records

Competitive moat4 records

Key risks5 records

Key highlights6 records

Customer concentration

CIM Securities, LLC (Member FINRA / SiPC) social profiles

Digital presence

CIM Securities, LLC (Member FINRA / SiPC) compliance and trust

Trust signal

Compliance2 records

CIM Securities, LLC (Member FINRA / SiPC) financial estimates

Financial estimate

Revenue estimate

Valuation estimate

CIM Securities, LLC (Member FINRA / SiPC) leadership team

Management profile

Number of profiles

Profiles5 records

CIM Securities, LLC (Member FINRA / SiPC) funding detail

Funding detail

Funding overview

Funding rounds

Investors

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

CIM Securities, LLC (Member FINRA / SiPC) M&A and investment

M&A and investment

M&A

Investments

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

Frequently asked questions about CIM Securities, LLC (Member FINRA / SiPC)

What does CIM Securities, LLC (Member FINRA / SiPC) do?

CIM Securities is a FINRA-registered broker-dealer that provides transaction-based capital markets services to institutional clients, acting solely in an agency capacity. The firm originates and executes private placements, pre-IPO financings, PIPEs, bridge loans, IPOs, and follow-on offerings as placement agent or finder for micro-cap and small-cap issuers. It does not provide investment advisory, valuation, fairness opinion, or portfolio management services, and earns revenue from transaction-based placement and finder's fees.

Is CIM Securities, LLC (Member FINRA / SiPC) a public or private company?

CIM Securities, LLC (Member FINRA / SiPC) is a private company. It is classified as management employee owned and is currently operating.

When was CIM Securities, LLC (Member FINRA / SiPC) founded?

CIM Securities, LLC (Member FINRA / SiPC) was founded in 2002. It employs 1 to 10 people.

Where is CIM Securities, LLC (Member FINRA / SiPC) based?

CIM Securities, LLC (Member FINRA / SiPC) is headquartered in Wall Township, United States, in the North America region.

How does CIM Securities, LLC (Member FINRA / SiPC) make money?

One revenue line is on record: brokerage Transaction Fees.

Who are CIM Securities, LLC (Member FINRA / SiPC)'s main competitors?

Direct peers on record are EF Hutton, Maxim Group, ThinkEquity, Roth Capital Partners, WestPark Capital, Aegis Capital Corp., The Benchmark Company and D. Boral Capital. Broad incumbents are B. Riley Financial and Ladenburg Thalmann.

Does CIM Securities, LLC (Member FINRA / SiPC) have an API?

No public API is recorded for CIM Securities, LLC (Member FINRA / SiPC).

What industry is CIM Securities, LLC (Member FINRA / SiPC) in?

CIM Securities, LLC (Member FINRA / SiPC)'s product category is Investment Banking / Broker-Dealer Services. Its primary akta.pro industry code is BPAHAOAL, Capital Markets Advisory (IPO Readiness, SPAC, ECM/DCM Advisory), with a secondary code of FSACAAAI, Equity Capital Markets Advisory (Equity Issuance Strategy & Readiness). Its NAICS code is 523150 and its SIC code is 6211.

Unlock the full company data

50 free credits on sign-up, no credit card required.

Contact sales
Live signals
PR NewswireKINETIC GROUP, INC. SIGNS MOU TO ACQUIRE PROFITABLE AI COMPANY OFFERING DIGITAL TRANSFORMATION SOLUTIONS TO ENTERPRISESKinetic Group Inc. (OTC: KNIT), a technology holding company, has signed a Memorandum of Understanding to acquire a profitable AI software company that provides predictive software for enterprise digital transformation, serving oil and gas and industrial clients. KNIT has hired CIM Securities LLC as lead placement agent to raise $3 million through an 8% PIK Dividend Series A Convertible Participating Preferred offering, with management projecting Year 1 post-acquisition EBITDA of $3.2 million. The company expects to rollout a subscription-based revenue model and expand international sales using the proceeds.SecSEC FORM DSmartSoda Holdings, Inc. filed a Form D with the SEC to report an exempt offering of equity securities under Rule 506(c), with a total offering amount of $3,000,000. The filing indicates that the entire amount has been sold to one investor, with sales commissions totaling $210,000 paid to CIM Securities, LLC. The offering was solicited in Washington state and is intended to last less than one year.GlobeNewswireQualis Innovations Inc. enters into an Agreement with CIM Securities to raise up to $4,000,000 in FundingQualis Innovations Inc. agreed with CIM Securities to raise up to $4,000,000 via a Series A preferred stock offering to accredited investors. The company plans to submit its 510(k) application for its SOLACE device by the fourth quarter of 2022.GlobeNewswireFDCTech signs a letter of intent (LOI) to acquire 80% equity interest in CIM Securities, LLC.FDCTech signed a letter of intent to acquire 80% equity in CIM Securities, a FINRA and SIPC member firm. CIM Securities generated $2.51 million in revenue for fiscal 2021, and the acquisition is subject to regulatory approvals with closing contemplated in Q4 2022.Business Wire BlogBond Biosciences Announces the Closing of a Series B FinancingBond Biosciences, a privately held biopharmaceutical company developing non-absorbed oral therapeutics, announced the closing of its Series B financing, led by Collage Partners, a division of CIM Securities LLC. Proceeds will advance manufacturing of BBI-001, an investigational drug targeting iron overload from Hereditary Hemochromatosis, including commercial-scale capabilities. No valuation or amount was disclosed.SecSEC FORM DSmartSoda Holdings, Inc. filed a Form D with the SEC to report an exempt securities offering under Rule 506(c). The company raised a total of $300,000 from one investor in Washington state, with $21,000 allocated to sales commissions paid to CIM Securities, LLC.PR NewswireWealthbridge Acquisition Limited Announces Pricing of $50 Million Initial Public OfferingWealthbridge Acquisition Limited priced its initial public offering of 5,000,000 units at $10.00 per unit, raising $50 million in capital. The offering is managed by Chardan Capital Markets and CIM Securities, LLC, with shares expected to begin trading on the NASDAQ Capital Market on February 6, 2019. The company intends to focus on business combinations within the air transportation and aviation industry in China.PR NewswireCardax Announces Warrant Exchange OfferCardax, Inc. has filed a registration statement on Form S-4 with the SEC for a warrant exchange offer allowing holders of $0.625 warrants expiring in February 2019 to exchange their warrants plus $0.15 per share for registered common stock. The company projects it could raise approximately $1.8 million in net proceeds if 50% of warrant holders participate, which it plans to use for ZanthoSyn® sales and marketing and clinical development. The offer will expire 20 business days after the registration statement becomes effective, with M.M. Dillon & Co. Group LLC serving as financial advisor and CIM Securities, LLC as solicitation agent.GlobeNewswireGoldspan Resources Retains Investment Banking Firm CIM Securities, LLCGoldspan Resources retained CIM Securities as its financial advisor for six months on a proposed private placement of equity and/or debt securities. The funds will be used to acquire and manage mineral investment opportunities in Nevada.GlobeNewswireFITT Highway Enters Into Financial Advisory Agreement With CIM Securities, LLCFITT Highway Products, Inc. retained CIM Securities, LLC as a financial advisor for its merger with F.I.T.T. Energy Products, Inc. The advisor will help with financing structures and strategic initiatives to increase shareholder value. The company also plans to engage a broader institutional shareholder base and pursue other trading markets.