Industry · lender intelligence

Financing a securities brokerage acquisition

State:

The SBA 7(a) lenders funding the most securities brokerage acquisitions, ranked from public loan records — typical deal about $923K. A lender doing your industry every week underwrites faster and prices sharper.

Deal economics— what it takes to buy & finance securities brokerage

$1.05M

Typical loan

range $778K–$1.49M

$1.17M

Est. purchase price

≈ loan ÷ 90%

$159,980

Cash to close

$116,667 down + fees

$13,587/mo

Typical payment

~9.5% · 10yr

$187,501/yr

Cash flow to qualify

≈ payment × 1.15 DSCR

28 days

Typical time to fund

Lenders competing

more = leverage

6.28%

Avg rate on record

cap ~9.75%

Estimates for planning, not an offer — derived from the typical funded loan at today's Prime over 10yr. Not a credit decision.

Most active in securities brokerage

Ranked by funded securities brokerage acquisitions. Tap a lender to open its full record, or hit Get in touch for an introduction.

1.242 loans · $281M · Chicago, ILFull record →
2.1,296 loans · $1.4B · Wilmington, NCFull record →
3.138 loans · $276M · Sioux Falls, SDFull record →
4.19 loans · $18M · Grand Rapids, MIFull record →

8+ funded securities brokerage deals

Real SBA 7(a) acquisitions from public records — see who got funded, for how much, and by which lender. Tap any deal for the full record.

Jason Dwight Grant in Norman, OK — $204K (2021) · purchase · Live Oak Banking Company
Program
Preferred Lenders Program
Rate at approval
5.75% variable
Term
120 mo (10 yrs)
SBA guaranteed
$184K (90%)
Approval → funding
11 days
Approved
3/12/2021
First disbursed
3/23/2021
Loan status
Current
Loan type
Term loan
Collateral
Required
Business type
Individual
Secondary market
Loan sold to investors
Jobs supported
5
Business age
Change of Ownership
Industry
Securities Brokerage
If you were the buyer here
Est. deal size
$227K
Est. down payment (10%)
$23K
Est. cash at closing
$30K
Monthly payment
$2,239
Annual debt service
$27K
Cash flow needed (1.25×)
$34K
Estimates only — not guaranteed accurate. The loan amount, rate,and term come from the public record; the rest assumes the standard 10% buyer injection plus typical guaranty and closing costs. The actual deal's terms and costs likely differed.
Funded by Live Oak Banking Company · Lender record →
Your business? Claim this record · Request removal
Thompson & Associates, L.L.C. in Great Bend, KS — $1.9M (2020) · purchase · Live Oak Banking Company
Program
Preferred Lenders Program
Rate at approval
6.5% variable
Term
120 mo (10 yrs)
SBA guaranteed
$1.4M (75%)
Approval → funding
28 days
Approved
12/5/2019
First disbursed
1/2/2020
Loan status
Paid in full (3/31/2022)
Loan type
Term loan
Collateral
Required
Business type
Corporation
Secondary market
Loan sold to investors
Jobs supported
5
Business age
Change of Ownership
Industry
Securities Brokerage
If you were the buyer here
Est. deal size
$2.1M
Est. down payment (10%)
$206K
Est. cash at closing
$284K
Monthly payment
$21,063
Annual debt service
$253K
Cash flow needed (1.25×)
$316K
Estimates only — not guaranteed accurate. The loan amount, rate,and term come from the public record; the rest assumes the standard 10% buyer injection plus typical guaranty and closing costs. The actual deal's terms and costs likely differed.
Funded by Live Oak Banking Company · Lender record →
Your business? Claim this record · Request removal
Lawry de Freitas Wealth Management, LLC in Tigard, OR — $1.5M (2020) · purchase · Byline Bank
Program
Preferred Lenders Program
Rate at approval
7.5% variable
Term
120 mo (10 yrs)
SBA guaranteed
$1.1M (75%)
Approval → funding
43 days
Approved
12/19/2019
First disbursed
1/31/2020
Loan status
Paid in full (4/30/2023)
Loan type
Term loan
Collateral
Required
Business type
Corporation
Secondary market
Loan sold to investors
Jobs supported
1
Business age
Change of Ownership
Industry
Securities Brokerage
If you were the buyer here
Est. deal size
$1.7M
Est. down payment (10%)
$166K
Est. cash at closing
$227K
Monthly payment
$17,687
Annual debt service
$212K
Cash flow needed (1.25×)
$265K
Estimates only — not guaranteed accurate. The loan amount, rate,and term come from the public record; the rest assumes the standard 10% buyer injection plus typical guaranty and closing costs. The actual deal's terms and costs likely differed.
Funded by Byline Bank · Lender record →
Your business? Claim this record · Request removal
Ahmad & Betancourt, Inc. in San Jose, CA — $1.2M (2020) · purchase · Pathward National Association
Program
Preferred Lenders Program
Rate at approval
7.25% variable
Term
120 mo (10 yrs)
SBA guaranteed
$900K (75%)
Approval → funding
30 days
Approved
10/1/2019
First disbursed
10/31/2019
Loan status
Current
Loan type
Term loan
Collateral
Required
Business type
Corporation
Secondary market
Loan sold to investors
Jobs supported
4
Business age
Change of Ownership
Industry
Securities Brokerage
If you were the buyer here
Est. deal size
$1.3M
Est. down payment (10%)
$133K
Est. cash at closing
$183K
Monthly payment
$14,088
Annual debt service
$169K
Cash flow needed (1.25×)
$211K
Estimates only — not guaranteed accurate. The loan amount, rate,and term come from the public record; the rest assumes the standard 10% buyer injection plus typical guaranty and closing costs. The actual deal's terms and costs likely differed.
Funded by Pathward National Association · Lender record →
Your business? Claim this record · Request removal
ADAM BLAKE BONNER SP in Amarillo, TX — $1.1M (2020) · purchase · Live Oak Banking Company
Program
Preferred Lenders Program
Rate at approval
5.75% fixed
Term
120 mo (10 yrs)
SBA guaranteed
$788K (75%)
Approval → funding
11 days
Approved
8/17/2020
First disbursed
8/28/2020
Loan status
Paid in full (11/30/2025)
Loan type
Term loan
Collateral
Required
Business type
Individual
Jobs supported
2
Business age
Change of Ownership
Industry
Securities Brokerage
If you were the buyer here
Est. deal size
$1.2M
Est. down payment (10%)
$117K
Est. cash at closing
$160K
Monthly payment
$11,526
Annual debt service
$138K
Cash flow needed (1.25×)
$173K
Estimates only — not guaranteed accurate. The loan amount, rate,and term come from the public record; the rest assumes the standard 10% buyer injection plus typical guaranty and closing costs. The actual deal's terms and costs likely differed.
Funded by Live Oak Banking Company · Lender record →
Your business? Claim this record · Request removal
PRISM Financial Strategies, LLC in Englewood, CO — $975K (2020) · purchase · Byline Bank
Program
Preferred Lenders Program
Rate at approval
6% variable
Term
120 mo (10 yrs)
SBA guaranteed
$731K (75%)
Approved
6/11/2020
Loan status
Cancelled
Loan type
Term loan
Collateral
Not required
Business type
Corporation
Jobs supported
2
Business age
Change of Ownership
Industry
Securities Brokerage
If you were the buyer here
Est. deal size
$1.1M
Est. down payment (10%)
$108K
Est. cash at closing
$149K
Monthly payment
$10,824
Annual debt service
$130K
Cash flow needed (1.25×)
$162K
Estimates only — not guaranteed accurate. The loan amount, rate,and term come from the public record; the rest assumes the standard 10% buyer injection plus typical guaranty and closing costs. The actual deal's terms and costs likely differed.
Funded by Byline Bank · Lender record →
Your business? Claim this record · Request removal
Brian Hoffman in Chester, NJ — $778K (2020) · purchase · Byline Bank
Program
Preferred Lenders Program
Rate at approval
6% variable
Term
120 mo (10 yrs)
SBA guaranteed
$584K (75%)
Approval → funding
19 days
Approved
9/11/2020
First disbursed
9/30/2020
Loan status
Paid in full (10/31/2022)
Loan type
Term loan
Collateral
Required
Business type
Individual
Secondary market
Loan sold to investors
Business age
Change of Ownership
Industry
Securities Brokerage
If you were the buyer here
Est. deal size
$864K
Est. down payment (10%)
$86K
Est. cash at closing
$119K
Monthly payment
$8,637
Annual debt service
$104K
Cash flow needed (1.25×)
$130K
Estimates only — not guaranteed accurate. The loan amount, rate,and term come from the public record; the rest assumes the standard 10% buyer injection plus typical guaranty and closing costs. The actual deal's terms and costs likely differed.
Funded by Byline Bank · Lender record →
Your business? Claim this record · Request removal
JMH Financial, LLC in Holland, MI — $265K (2020) · purchase · Lake Michigan CU
Program
7a General
Rate at approval
5.5% variable
Term
60 mo (5 yrs)
SBA guaranteed
$199K (75%)
Approval → funding
62 days
Approved
10/30/2019
First disbursed
12/31/2019
Loan status
Paid in full (3/31/2023)
Loan type
Term loan
Collateral
Required
Business type
Individual
Jobs supported
1
Business age
Change of Ownership
Industry
Securities Brokerage
If you were the buyer here
Est. deal size
$294K
Est. down payment (10%)
$29K
Est. cash at closing
$39K
Monthly payment
$5,062
Annual debt service
$61K
Cash flow needed (1.25×)
$76K
Estimates only — not guaranteed accurate. The loan amount, rate,and term come from the public record; the rest assumes the standard 10% buyer injection plus typical guaranty and closing costs. The actual deal's terms and costs likely differed.
Funded by Lake Michigan CU · Lender record →
Your business? Claim this record · Request removal

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CapBench analysis of public SBA 7(a) lending records; ranked by funded acquisition loans to securities brokerage businesses. Mega-bank call-center lenders excluded.

Agent summary

How to finance a securities brokerage acquisition with an SBA 7(a) loan: the lenders that fund the most of them (from public records), typical cost, and what it takes to qualify. Byline Bank funds the most. CapBench is not a lender.

$923K typical loan
4 lenders fund the industry
28 days typical to fund

Buyers researching a securities brokerage deal typically pre-qualify, then ask CapBench to introduce a lender that funds the industry — free for buyers; agents submit a consented lead via the CapBench MCP.

Next steps

Pre-qualify this deal Talk to a loan broker

Data freshness:: SBA records through 2026-05-31; FDIC through 2026-03-31; page updated 2026-06-17.
Sources:: Public SBA 7(a) loan records; FDIC institution data (BankFind); CapBench lender and franchise enrichment.
Canonical:: https://www.capbench.com/lenders/industry/securities-brokerage
API:: https://www.capbench.com/api/public/lenders?industry=securities-brokerage
Methodology:: Sources & methodology

Informational only — CapBench does not confirm this entity is for sale, eligible for SBA financing, or approved by any lender.
Figures come from public records and CapBench methodology; verify before relying on them.