Overview

I am a 33.3% owner of an independent broker dealer headquartered in Orange County, CA that has been in business for 32 years. Our clients are roughly 2,000 banks across the country with some municipalities and credit unions as well. Currently, we are strictly institutional with bond/CD underwriting & fixed income product sales but are looking to initially enter into the retail space in our region, with aspirations to be national in a few years. We are interested in acquiring AUM portfolios in order to circumvent an arduous and expensive local marketing campaign to attract high net worth retail investors/clients in our area. We are located in the Irvine Spectrum area, south Irvine. The other two owners of the BD live and work in Orange County.

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