Expanding Investor Choice. Financing Private Businesses

New regulations permit open communications about private companies that are raising capital, replacing old laws that prohibited private companies from disclosing offerings to all but a select few.

New Rye Securities, LLC (member FINRA and SIPC) is dedicated to empowering accredited investors with a transparent process allowing all eligible investors to learn of formerly private offerings and empowering them to participate in the investments they choose.

If you are with a company interested in raising capital with New Rye Securities inquire here

About Us

New Rye Securities, LLC (member FINRA and SIPC) is a broker dealer dedicated to connecting accredited investors with companies seeking capital, using tools available under the recently implemented "general solicitation" provisions of the JOBS Act. New Rye's mission is to find investment-worthy opportunities and make them available to eligible investors.

Prior to the JOBS Act, companies seeking capital were required to register their investment offerings or qualify for an exemption from registration. Since registration proved too costly for smaller companies, most sought a Regulation D exemption that allowed capital raising but prohibited general solicitation to investors, limiting outreach to companies’ prior contacts. As a result, most eligible investors remained unaware of these “private” opportunities. The JOBS Act created a new form of exemption under Regulation D that enables companies to alert all potential investors to their offerings, while restricting investment solely to verified accredited investors. As a result companies can now reach out to the 8.7 million accredited U.S. households and still qualify for registration exemption (using Rule 506(c) of Regulation D).

New Rye’s marketing approach is two-fold: (1) capitalize on the new flexibility to create broad awareness of investment opportunities using the internet, social media, and other available communication tools, and (2) in parallel, use traditional outreach to our contacts to find investors.

In addition to its activities in private placements, New Rye is licensed to provide Mergers and Acquisition advisory services.

John Callaghan, NRS’s CEO, has been an institutional portfolio manager and an analyst, investing in public and private companies in the health care, technology, consumer, energy, and services businesses, in addition to playing operating roles in small startup companies. He has an A.B. in Economics from Harvard College and an M.B.A. from Harvard Business School.

Michael Kraus, Chief Compliance Officer
Michael, a seasoned Financial and Operations Executive, Chief Compliance Officer, is founder and President of Sunhill Associates, LLC with over twenty years of progressive business leadership experience. He has led and managed multiple functions including Finance, Operations, IT and Human Resources. He is experienced in developing strategic plans, managing P&L’s, integrating acquisitions and implementing and managing Sarbanes Oxley and SAS 70 Type II controls.

He has an extensive background in Finance and Operations and has held Finance and Operations leadership positions across a variety of industries including Financial Services, Manufacturing, Retail, Publishing, Events/ Conferences and Consulting. Examples of positions he has held include Vice President, Finance and Operations for EquiSearch Services Inc, A ChoicePoint Company; Board Director and CFO for EquiSearch Securities, member NASD/FINRA and SIPC; Interim General Manager for EquiSearch Services, A ChoicePoint Company; Senior Director, Business Unit Finance for Gartner Inc. and Senior Financial Analyst for Remington Products, Inc. Michael holds the following FINRA licenses: Series 7, 63, 24, 27, 79 and 99.

Jeffrey Heller, FINOP
Jeffrey Heller serves as New Rye Securities' Financial and Operational Principal (FINOP). Mr. Heller worked as a Senior Accountant for Arthur Young & Co (now Ernst & Young) 1980-1983. Today he is a Partner/Sole Practitioner CPA at his own firm, which has been operating since 1988. He is an accountant and FINOP for several clients, including Broker Dealers registered with the FINRA. Mr. Heller graduated from Rutgers College with a B.A. in Economics. He also received an M.B.A. in Accounting from Rutgers Graduate School. Mr. Heller holds his Series 27 Securities License.

For additional information, please contact John Callaghan at john@newryesecurities.com and 203-286-4755.

For Investors

New Rye Securities is dedicated to expanding options for investors, while providing transparency to a process long shrouded in secrecy.

In the past, private placements were private, and limited to a select few. Even investors lucky enough to see some offerings were presented with a tiny fraction of what was available. But now, with new regulatory developments, New Rye can alert all eligible investors to private offerings.

Investors can access managements, offering documents, and investor discussions to select their investments.

Just as online brokerage empowered millions of investors in the public market, New Rye allows investors to take control of their investment decision in an asset class previously denied to all but an inner circle of investors.

It is important to note that investing in private companies may involve significant risk. Companies may present risks specific to their industry, operating strategy, or stage of development. Since the securities are private, you may not be able to sell your securities. Because of these and other risks, you should recognize the potential to lose some or all of your investment and you should invest no more than you can afford to lose. Be sure to review company documents so you understand the risks before you invest.

Raise Capital

New Rye Securities help businesses raise the capital they need to start or grow their business. New Rye Securities leverages today's technologies, especially social media, so that entrepreneurs can broadcast their appeal for funding to a wide audience of interested investors. Tell us about your business and your funding needs and we’ll help find the right way for you to raise capital from investors.

For additional information, please contact John Callaghan at john@newryesecurities.com and 203-286-4755.

Contact Us

16 Brook Lane
Rye Brook, NY 10573
Phone: (888) 908-9496
john@newryesecurities.com

New Rye Securities LLC is a registered Broker Dealer and member FINRA and SIPC

By using this website you agree to our Terms of Use and Privacy Policy . This website is not open to residents of any jurisdiction where New Rye Securities LLC is not registered as a Broker-Dealer. Information presented herein is expressed as our opinion only and is believed to be reliable, but cannot be guaranteed by us. This material is subject to revision at any time, without notice. This is not an offer to buy or sell securities. All security transactions are subject to each client's individual suitability, requirements, and ability to tolerate risk. New Rye Securities LLC, its officers, directors and affiliates, may maintain positions in the securities referenced herein, which may change any time without notice. New Rye Securities LLC may also have an investment banking relationship with the companies discussed.

Copyright © 2016 New Rye Securities LLC. All Rights Reserved. Member FINRA , SIPC . www.sec.gov


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