Harrison Securities

John V. Harrison, President and founder, oversees all investment banking and brokerage activities as the firm's sole registered principal per FINRA records (public record). The firm's small, flat structure concentrates decision-making authority with Mr. Harrison, who has led the company since its 1995 launch.

Deal flow appears to be primarily issuer-driven, with small-cap public companies seeking direct capital infusions through PIPE transactions and registered direct offerings. Harrison's three-decade tenure and continuous FINRA registration (public record) likely provide a referral network among corporate attorneys, investor-relations firms, and management teams in the micro-cap sector, though the firm does not publicly detail its origination process.

No. Harrison Securities is a FINRA-registered independent broker-dealer and investment bank, not a family office. It acts as an intermediary between issuers of securities and end-investors, rather than managing a single family's capital. It does not disclose any affiliation with a family wealth vehicle.

Harrison Securities functions on a deal-by-deal basis, structuring individual private placements and registered direct offerings. It does not market pooled investment vehicles or commingled funds. Investors gain exposure to specific issuer transactions rather than committing capital to a blind-pool fund structure.

The firm targets later-stage private companies immediately preceding an IPO or micro- and small-cap companies already trading publicly that need growth capital. Transaction structures typically involve equity or equity-linked securities placed at a discount to market, common in the PIPE market.