Auxo Firm Directory · Independent Research Profile

Network 1 Financial

Network 1 Financial Securities, Inc. combines brokerage, investment banking, securities underwriting, financing, private placements, M&A-related services, and market making. Its publicly identified transaction assignments include IPO underwriting for Jerash Holdings, Hancock Jaffe Laboratories, and MDJM Ltd.

Key takeaway

Network 1 Financial publicly presents a combined securities, brokerage, and investment-banking platform.

Its disclosed transaction examples are primarily IPO underwriting assignments, while its Customer Relationship Summary lists M&A among its services without publishing general M&A size criteria, representative M&A deal details, or universal M&A fee terms.[1][2]

What does Network 1 Financial do?

Network 1 Financial Securities, Inc. describes itself as an independent, full-service securities firm headquartered in Red Bank, New Jersey. Its stated activities span brokerage, investment banking, and market-making services.

The firm’s public materials identify both securities-market services and M&A-related capabilities. The publicly identified transaction examples in the cited materials are IPO underwriting assignments.[1][2][3][4]

The firm’s Customer Relationship Summary lists private placements, IPOs and securities offerings, financial consulting, mergers and acquisitions, bank and debt financing, business planning and development, fairness opinions, non-deal road shows, shareholder relations and communications, electronic media, and market making.

It also describes brokerage services involving traditional equity securities, mutual funds, variable life insurance, variable annuities, corporate debt, and municipal securities. Active trading is offered to a limited number of sophisticated high-net-worth customers.[2]

Owners comparing advisory firms can also review Auxo’s M&A advisor vs. business broker vs. investment bank comparison, advisor-selection guide, and sell-side advisor evaluation framework.

Public size / criteria information
The official Customer Relationship Summary describes active trading for a limited number of sophisticated high-net-worth customers, including domestic and international customers. It does not state a general M&A revenue, EBITDA, enterprise-value, minimum-size, or transaction-size threshold.[2]

What should a business owner evaluate before hiring Network 1 Financial?

An owner evaluating Network 1 should distinguish the firm’s stated M&A capability from its publicly identified IPO underwriting assignments. The cited Customer Relationship Summary does not provide general M&A size criteria, representative M&A case studies, or universal fee and engagement terms.

Before engaging, an owner can ask the firm to identify the professionals who would lead the assignment, describe the proposed role across M&A, financing, private placement, or underwriting services, and provide applicable transaction criteria, fee terms, conflicts procedures, and recent comparable references.[2][3]

01

What percentage of current engagements are sell-side M&A assignments versus underwriting, private placement, financing, or brokerage assignments

The firm’s Customer Relationship Summary lists each of these service categories, while the publicly identified transaction examples concern IPO underwriting.[2][3]
02

What transaction-size, revenue, EBITDA, enterprise-value, and industry criteria does the firm currently apply

The official Customer Relationship Summary does not state general M&A revenue, EBITDA, enterprise-value, minimum-size, or transaction-size thresholds.[2]
03

Can the firm provide recent owner-represented M&A references with dates, transaction type, enterprise value, and outcome

The official Customer Relationship Summary lists M&A as a service but does not publish representative M&A deal names, transaction values, buyer identities, or completed-deal dates.[2]

What size transactions and clients does Network 1 Financial focus on?

Official transaction materials identify Jerash Holdings as an apparel manufacturer, Hancock Jaffe Laboratories as a medical-device company, and MDJM Ltd. as a real-estate-services company. These issuers were identified in connection with Network 1 underwriting roles.[3]

Network 1 states that it served as underwriter for six 2018 IPOs. The same review identifies Jerash Holdings as a sole-underwriter assignment and Hancock Jaffe Laboratories as a managing-underwriter assignment.

Network 1 announced that it acted as sole underwriter for MDJM Ltd.’s offering, with MDJM’s ordinary shares beginning to trade on the Nasdaq Capital Market under the symbol MDJH in January 2019.[3][4]

Network 1’s stated investment-banking services include IPOs and securities offerings, private placements, financing, fairness opinions, and mergers and acquisitions. The firm also states that it provides market-making services.

The publicly identified assignments described below concern IPO underwriting. The Customer Relationship Summary lists M&A as a service but does not provide representative M&A deal names, transaction values, buyer identities, or completed-deal dates.[2]

What does Network 1 Financial publicly disclose about fees, process and engagement terms?

The official Customer Relationship Summary describes active trading for a limited number of sophisticated high-net-worth customers but does not state a general M&A revenue, EBITDA, enterprise-value, minimum-size, or transaction-size threshold.

The same Customer Relationship Summary lists mergers and acquisitions among the firm’s services but does not publish representative M&A deal names, transaction values, buyer identities, or completed-deal dates. It also does not state universal M&A fee percentages, minimum fees, expense schedules, exclusivity terms, termination provisions, or tail periods.[2]

The firm’s Customer Relationship Summary states that Network 1 Financial Securities, Inc. is a broker-dealer registered with the U.S. Securities and Exchange Commission and a member of FINRA.

FINRA’s firm BrokerCheck record identifies the firm as CRD #13577 and SEC #8-29471. The record describes it as a corporation formed in Texas on March 15, 1983, with registration information reported for the SEC, four self-regulatory organizations, and 51 U.S. states and territories.[2][5]

The official firm page states that Network 1 emphasizes personalized service, close client contact, and investment strategies based on client expectations, risk profile, and experience.

The cited description is framed around the firm’s broader client and investment-services approach; it does not, in the cited claim, describe a detailed M&A engagement process.[1]

Questions to ask before hiring Network 1 Financial

What percentage of current engagements are sell-side M&A assignments versus underwriting, private placement, financing, or brokerage assignments?
The firm’s Customer Relationship Summary lists each of these service categories, while the publicly identified transaction examples concern IPO underwriting.[2][3]
What transaction-size, revenue, EBITDA, enterprise-value, and industry criteria does the firm currently apply?
The official Customer Relationship Summary does not state general M&A revenue, EBITDA, enterprise-value, minimum-size, or transaction-size thresholds.[2]
Can the firm provide recent owner-represented M&A references with dates, transaction type, enterprise value, and outcome?
The official Customer Relationship Summary lists M&A as a service but does not publish representative M&A deal names, transaction values, buyer identities, or completed-deal dates.[2]
How are conflicts handled when the firm may act as broker, underwriter, placement agent, market maker, or adviser?
The firm publicly lists brokerage, underwriting, private placements, mergers and acquisitions, and market-making services, creating a basis for clarifying role and conflict procedures.[2]
What are the retainer, success fee, expense, exclusivity, termination, and tail provisions for the proposed engagement?
The official Customer Relationship Summary does not state universal M&A fee percentages, minimum fees, expense schedules, exclusivity terms, termination provisions, or tail periods.[2]
Which professionals would lead the engagement, and what is their current M&A execution experience?
The cited materials identify the firm’s M&A service but do not provide representative completed M&A deal details or a detailed M&A execution record.[2]

Sources & research notes

Public-source research
  1. Official website / firm overview
  2. Services / capabilities
  3. Industry / market focus
  4. Transaction / portfolio evidence
  5. FINRA regulatory record
Prepared and reviewed by: Auxo Capital AdvisorsEvidence standard: Public-source verification

How this profile was researched

Auxo profiles are prepared from publicly available primary and authoritative sources and reviewed for entity identity, factual support and disclosure consistency. When a fact cannot be supported by the reviewed public record, the profile identifies it as something to confirm directly rather than inferring it.

Independent profile & regulatory context

Independent research profile

This profile was prepared by Auxo Capital Advisors from publicly available information believed to be reliable and is provided solely for informational and educational purposes. It is not an endorsement, recommendation, ranking, solicitation, or representation regarding the profiled firm, its services, qualifications, transaction experience, regulatory status, financial condition, or suitability for any particular person, company, transaction, or investment.

Information obtained from third-party and public sources may be incomplete, inaccurate, outdated, or subject to change, and Auxo Capital Advisors makes no representation or warranty, express or implied, as to its accuracy, completeness, or timeliness. Readers should conduct their own independent diligence and consult appropriate professional advisers before engaging any advisor, intermediary, investor, lender, acquirer, or other transaction counterparty.

Broker-dealer and securities disclosure

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