Chief Executive Officer, Broker-Dealer

Equiton is a Canadian real estate investment firm with a growing presence in the United States. As part of our U.S. expansion strategy, we are establishing a boutique, limited scope broker‑dealer focused on raising capital for private real estate investment offerings through direct‑to‑consumer (retail), RIA, and institutional investor channels.

We are seeking a Chief Executive Officer to lead the launch, regulatory oversight, and strategic growth of our U.S. broker‑dealer. This individual will serve as the firm’s designated Executive Representative and senior executive responsible for the overall leadership, operation, and development of the broker‑dealer.

This is a unique opportunity to join a well‑capitalized organization at an early stage and build a specialized distribution platform focused primarily on Reg D and Reg A offerings within the private real estate and alternative investment space.

The successful candidate will combine strong broker‑dealer leadership experience, deep knowledge of FINRA and SEC regulations, and a practical understanding of raising capital for private real estate investments. This individual will work closely with executive leadership in both Canada and the United States to establish a scalable, compliant, and growth‑oriented platform.

Dallas, Texas (required or willing to relocate)

• Serve as Chief Executive Officer and Executive Representative for the firm’s FINRA‑registered broker‑dealer.
• Provide overall leadership and management of the broker‑dealer’s operations, strategic direction, and business activities.
• Ensure the firm operates in accordance with all applicable SEC, FINRA, and state regulatory requirements.
• Partner closely with Compliance, Legal, and supervisory principals to maintain a strong compliance culture and regulatory framework.
• Act as a key liaison with regulators, external counsel, auditors, and industry service providers.
• Support regulatory examinations, inquiries, audits, and filings as required.
• Ensure adherence to the firm’s written supervisory procedures, compliance program, and governance framework.

• Develop and execute the broker‑dealer’s strategic growth plan.
• Build and expand capital raising capabilities focused on:
• Retail investors
• Registered investment advisors (RIAs)
• High‑net‑worth and ultra‑high‑net‑worth investors
• Family offices and select institutional relationships
• Provide strategic guidance regarding distribution channels, product positioning, and market expansion opportunities.
• Collaborate with investment and executive leadership teams on new product launches and fundraising initiatives.
• Identify and cultivate strategic partnerships that support capital formation and long‑term growth.

• Build, lead, and mentor a high‑performing broker‑dealer team.
• Establish scalable operational processes, infrastructure, and governance practices appropriate for a boutique broker‑dealer environment.
• Oversee budgeting, forecasting, and financial performance of the broker‑dealer.
• Drive accountability, performance management, and operational excellence across the organization.
• Foster a culture of integrity, professionalism, client service, and regulatory compliance.

Required

• Minimum 15+ years of experience within the securities, wealth management, broker‑dealer, alternative investment, or capital markets industry.
• Previous executive leadership experience within a FINRA‑regulated broker‑dealer.
• Strong understanding of broker‑dealer operations, governance, and regulatory requirements.
• Experience supporting the distribution of alternative investments, private placements, real estate investments, REITs, private funds, or similar products.
• Demonstrated experience working with Reg D and/or Reg A investment offerings.
• Experience raising capital through retail, wholesale, advisor, and high‑net‑worth investor channels.
• Active FINRA Series 24 license.
• Active FINRA Series 7 license (or equivalent prerequisite registrations required for Series 24).
• Active Securities Industry Essentials (SIE) qualification.
• Clean regulatory record and ability…