Investing in Oil and Gas Through a Licensed Broker-Dealer

What is a Broker Dealer?

As a popular investment avenue, the Oil and Gas sector continues to attract both experienced investors as well as those new to investing in these types of commodities. However, for both seasoned and new investors, it can be at times challenging to navigate the complexities of the energy industry, which is why investing in Oil and Gas with an experienced and licensed Broker-Dealer can offer Accredited Investors several advantages.

A Broker-Dealer is a licensed financial intermediary or firm that facilitates the buying of investment products. Licensed Broker-Dealers are required to make investment recommendations that are in the best interest of their clients. Furthermore, becoming a Registered Representative for a Broker-Dealer requires meeting certain educational and testing requirements in order to obtain the required securities licenses. The stringent regulatory framework surrounding licensed Broker-Dealers and their Registered Representatives adds a level of accountability that ensures investor alignment and aids in safeguarding investor interests.

Why You Should Invest Through a Registered Broker-Dealer?

Choosing the right investment professional is an important decision. According to the SEC, much of the investment fraud in the United States is committed by unregistered persons.

• A FINRA-registered Broker-Dealer facilitates the buying and selling of securities. Broker-Dealers, in turn, employ Registered Representatives to work with their clients.

• Becoming a Registered Representative requires meeting stringent educational and testing requirements.

• Registered Representatives are subject to compliance oversight by their Broker-Dealers as well as continuing education requirements.

• Broker-Dealers and Registered Representatives are required to act in the best interest of their retail clients when making investment recommendations.

Using Registered Broker-Dealers Matters to You When Investing in Oil and Gas

Along with the SEC, FINRA oversees U.S. member broker-dealers and their personnel. FINRA’s mission is to protect investors and ensure the integrity of the country’s securities markets. See What It Means to Be Regulated by FINRA | FINRA.org

Crown Exploration works with a FINRA registered Broker-Dealer to offer its Oil and Gas investments to Accredited Investors.

Four key recommendations Accredited Investors may want to keep in mind when considering an Oil and Gas investment:

• Crown Exploration works with a FINRA-registered Broker-Dealer to offer its Oil and Gas investments to Accredited Investors. This not-for-profit organization has as its mission to protect you, the customer.

• Make sure your sales representative is fully licensed. All of Crown’s exclusive Broker-Dealer Representatives hold securities licenses and complete annual continuing education.

• Read the Confidential Information Memorandum (CIM) to understand the potential risks, rewards, and costs associated with the investment.

• Ask Questions. A Broker-Dealer has the obligation to act in the best interest of its customers at the time a recommendation is made.

Benefits of Investing in Oil with a Registered Broker-Dealer:

• Registered Representatives Hold Securities Licenses

• Compliance Oversight

• Continuing Education Requirements

• Financial Audits

• Privacy Policy

• Escrow Agent

• Offsite Backup Requirements

• Vetted Investment Opportunities 

Crown Exploration Works with an Exclusive Broker-Dealer

For more than 20 years, Crown Exploration has worked with an exclusive and licensed Broker-Dealer to offer Accredited Investors the chance to diversify their portfolios, generate potential monthly income, and reduce their tax liabilities. By partnering professionally with Crown Exploration, sophisticated investors gain access to a wealth of knowledge regarding the Oil and Gas industry, as well as peace of mind knowing that the requirements of a demanding regulatory environment are met through a Registered Broker-Dealer.

Know the Drill: To learn more about investing in Oil and Gas through a licensed Broker-Dealer, schedule a call today!