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Thanks much for visiting our affiliated companies! Listed below are companies that are divisions, affiliates and/or subsidiaries of the broker dealer firm.
This fictitious business name (dba) was created in order to comply with the California Insurance Code and other insurance departments throughout the United States that require a company when marketing insurance products, whether variable or fixed, hold itself out and identify itself as providing insurance services.
You can visit our webpage by clicking on variable insurance under Business Types which will describe our variable insurance products in much more detail.
Our M&A Principal, handles all of our private placements and restricted securities. Our reason for sorting this out from the broker dealer firm is that only sophisticated investors and institutional investors can access the specialists involved with this part of the business. No registered representative of the firm can market private placement securities on behalf of the firm without first completing a Series 79 FINRA Qualified exam, and then extensive training, and finally by obtaining specific approval and the product itself, needs to be approved by the broker dealer only after careful due diligence has been conducted and the broker dealer approves the issuer.
All investors must be reviewed and examined for suitability by the investor’s representative, the representative’s immediate supervisor, approved by the manager of the office of supervisory jurisdiction and finally approved by the Compliance Department of the broker dealer firm. You can visit our webpage by clicking on private placements under Business Types for more detailed information as to qualifications.