Carty & Company

Carty & Company

Carty & Company, Inc. is a full-service investment broker/dealer with a presence in Memphis, TN. Founded over 50 years ago, the firm is highly regarded both nationally and locally, as well as being well-capitalized. Licensed across all fifty two states and territories, the company provides services for both individuals and institutions. The team at Carty & Company are experts in the field of fixed income trading and sales, offering clients a wealth of experience and knowledge. They have the capacity to deliver bespoke solutions to their customers, along with the highest levels of customer service.

Veber Partners

Veber Partners is an investment banking firm that provides specialized advice to business owners, investors and senior management to assist them in making and executing important financial decisions. We are one of the few FINRA registered Broker-Dealers located in the Portland Metro area that provide services to private middle-market companies. Our team of experts follows the regional market trends and understands the individual and institutional investors and lenders. Our aim is to build and maintain long-term relationships with clients by offering quality services, expert advice and a proven track record of successful acquisitions, ownership transitions, capital raising and corporate strategic alliances and divestitures. At Veber Partners, we are dedicated to offering our clients the highest degree of industry knowledge, comprehensive research and analysis, and the most experienced financial consultancy. Our professionals take a practical approach and work closely with a select number of clients. Thanks to our deep understanding of the local market and familiarity with the mindset of the Pacific Northwest, we can offer tailored services while staying true to the unique needs of the region.

Gunter Financial Services

At Gunter Financial Services, our team of financial advisors and Certified Financial Planner professionals have over 60 years of combined investment experience. We specialize in wealth management for individuals, and institutional investment consulting and management for retirement plans, endowments, and foundations. For individual wealth management, we provide comprehensive financial planning and asset management tailored to meet the specific needs and goals of our clients. In the institutional space, we offer Central Texas businesses a customized financial wellness program for their employees, which includes an objective assessment of the current plan structure, the implementation of a revised retirement program (if needed), and ongoing plan monitoring and maintenance. Our process maintains a comprehensive fiduciary standard. Gunter Financial Services is not a registered broker/dealer and is independent of Raymond James Financial Services, Inc., which offers securities through Raymond James Financial Services, Inc., Member FINRA/SIPC, and investment advisory services through Raymond James Financial Services Advisors, Inc.

Atterbury Investment Management

At Atterbury Investment Management, Inc., we are committed to providing pre-retirees and retirees with high-quality financial advisory services. Our team has 30 years of experience and a wealth of knowledge in the world of investment management and retirement planning. We provide personalized advice tailored to each client's individual needs and objectives. Our team can help you develop a strategy that will help you reach your financial goals. We strive to give our clients objective and transparent advice that is always in their best interests. If you are a pre-retiree or retiree living in North County San Diego who needs expert financial advice, contact us today to find out if we are the right fit for you. We offer appointments both in-person and virtually, so no matter where you are located, we can help. Representatives are registered with and offer only securities and advisory services through PlanMember Securities Corporation, a registered broker/dealer, investment advisor and member FINRA/SIPC. 6187 Carpinteria Ave, Carpinteria, CA. 93013, (800) 874-6910. Atterbury Investment Management, Inc and PlanMember Securities Corporation are independently owned and operated. PlanMember is not responsible or liable for ancillary products or services offered by Atterbury Investment Management, Inc or these representatives. CA Insurance Lic #0B29538 (Clark Atterbury) & 0M95309 (Keeley Atterbury)

Treece Financial Group

Treece Financial Group is an organization dedicated to providing financial guidance to those aging alone and members of the LGBTQ+ community. Our mission is to provide honest advice, create a lifetime income plan, and advocate for our clients if financial injustice occurs. We use plain language and no pressure sales tactics, so you can make informed decisions about your retirement planning. Our team helps you maximize your income and prepare for unexpected expenses, such as healthcare and long-term care. We offer securities and investment advice through Cetera Advisors LLC, a broker/dealer and Registered Investment Adviser. Our experienced team is dedicated to providing top-notch service and satisfaction for all of our clients. Contact us today for more information on how we can help you with all of your needs.

Creative Financial Partners

Creative Financial Partners was established to assist our customers in all areas of their finances. We pride ourselves on offering a highly personalized service and have gained recognition for the excellence we provide. Our mission is to help our clients achieve financial stability and independence through comprehensive financial planning, investments, banking and retirement planning. Our team of experienced professionals are dedicated to helping our clients reach their goals. We strive to provide the best possible services and offer a wide range of options. We also work with Securities Service Network, Inc, a registered broker/dealer, which is a member of FINRA & SIPC.

Bridge Capital Associates

Since 1994, Bridge Capital Associates has been helping clients meet their broker/dealer and registered investment advisor compliance requirements. Our team of experts provide accurate and informed analysis to ensure compliance with the FINRA, SEC, and state regulations, as well as assisting with regulatory audits. We offer a full service consultancy that can be tailored to each client’s individual needs, providing advice and guidance on regulatory matters.Our experienced staff have extensive knowledge and understanding of compliance regulations and audit processes, and are able to provide comprehensive support to our clients. We specialize in providing a cost-effective outsourcing solution that helps to save time and resources for our clients.

Schulte Roth & Zabel LLP A Law Firm That Is Based In New York

Schulte Roth & Zabel is a law firm that is based in New York. With more than 360 attorneys at the firm, its practice areas address its clients business and individual needs. Its practice areas include: Business reorganization, business transactions, employment and employee benefits. Finance, individual client services, intellectual property, investment management. Litigation, real estate, structured products and tax. The firm represents: Domestic and foreign public and private companies, investment banks. Domestic money center and foreign commercial banks. Broker-dealers and investment advisors. It also serves: Private investment partnerships, manufacturing and technology concerns. Venture capitalists, pension funds, insurance companies. Educational institutions, real estate developers. Landlords, tenants, partnerships and individuals.

Signature Bank

Signature Bank (NASDAQ: SBNY) is a full-service commercial bank with offices in the five boroughs of New York City, as well as Nassau, Suffolk and Westchester counties. We focus on serving the financial needs of privately owned businesses, their owners and senior managers - a group of clients who often find themselves underserved by the area's larger financial institutions. Signature Bank's unique organizational structure allows our clients to have a single point of contact-through a Private Client Group-for all of their banking needs. The members of our Private Client Groups are recruited from major New York banks and brokerages, and given top-notch support, products and resources in order to best serve Signature Bank clients. Our structure combines small-bank responsiveness with large-bank experience and capability - truly the best of both worlds. Signature Bank clients enjoy access to a wide range of business and personal banking products and services, as well as investment, brokerage, wealth management, and insurance products and services through its subsidiary Signature Securities Group Corporation ("Signature Securities") and equipment financing through its subsidiary Signature Financial LLC. Signature Securities is a licensed broker dealer and investment adviser. Signature Bank is a Member FDIC.

Quinn Law Group

The Quinn Law Group offers legal and compliance services to investment advisers, broker-dealers, and insurance producers. Our mission is to provide representation to these financial services firms and professionals, helping them to adhere to federal and state securities and insurance laws, such as the 1933 and 1934 Acts, the Investment Advisers Act of 1940, the Investment Company Act of 1940, SEC regulations, FINRA codes, and state blue sky and insurance laws and regulations. We also represent clients in financial services-related litigation or arbitration before federal and state courts, industry arbitration panels, and agency administrative tribunals. Our team has extensive experience in this area, allowing us to effectively assist our clients with their legal needs.

Philip E. Gable, P.C.

Our firm, Philip E. Gable, P.C., provides estate and asset protection planning for high net worth individuals, professionals, and small business owners. We also offer Elder Law services and a range of business services such as buying/selling businesses, forming business organizations, commercial real estate transactions, lease agreements, employment agreements, general business contracts and litigation.We are committed to providing quality legal services that meet our clients’ needs. However, no representation is made that the quality of the legal services we provide is better than that of other lawyers.HD Vest Investment Services (HDVIS) and HD Vest Advisory Services (HDVAS) are registered broker-dealer and investment adviser, respectively. They are located at 6333 N. State Highway 161, Fourth Floor, Irving, TX 75038; 972-870-6000. Please note that HDVIS does not accept purchase or sales orders via any social media platform or its messaging systems. In addition, this firm does not provide tax or legal advice. If you wish to access third-party website content, please refer to the HDVIS Social Media Policy for more information.

Shustak Reynolds & Partners

Shustak Reynolds & Partners, P.C., is a law firm that has been providing clients with quality advice and representation for over 39 years. Our offices are located in San Diego, Irvine, San Francisco, Chicago and New York City, allowing us to serve clients across the United States. We specialize in securities and business law, financial services law and business and securities litigation and arbitration. Our team of experienced lawyers strive to provide the best possible results for our clients, while also delivering the highest level of personal attention and service. We are committed to helping our clients resolve complex legal issues. Our core practice areas include: securities litigation and arbitration, representation of broker-dealers, registered persons and investment advisers, SEC and FINRA investigations and enforcement actions, complex business disputes and corporate and securities transactions.If you are in need of legal assistance, please contact us for a confidential analysis of your situation. We are confident we can help you achieve the best possible outcome.

Peter Shannon & Co

Peter Shannon & Co is a financial services firm providing its clients with professional advice and assistance in the areas of tax planning and preparation for individuals and businesses, financial statements and audits, financial and estate planning, retirement planning, education planning, investment review, and various businesses including construction, medical, manufacturing, transportation, real estate, retail, broker dealers, HUD projects, 401k plan audits, and more. With our commitment to service and customer satisfaction, we strive to exceed expectations each and every time. Contact us today to find out how we can help.

LPL Financial, Brad Weddle, CFP

LPL Financial is a leading financial services provider and the largest independent broker/dealer in the U.S. It is committed to providing Americans with impartial and conflict-free investment advice, helping them secure their financial future. Brad Weddle, CFP and his team of experienced advisors have no proprietary products to sell, meaning they can deliver truly unbiased advice and research. This allows clients to make informed decisions about their investments, without any ulterior motives from the company. The firm’s commitment to client success is further evidenced by its team of knowledgeable professionals who are dedicated to providing personalized advice and support. Our experienced team is dedicated to providing top-notch service and satisfaction for all of our clients. Contact us today for more information on how we can help you with all of your needs.