Our Services

  Equity Services              

  • Brokerage transactions for common and preferred stock, warrants, and other securities which are listed on the national securities exchanges, as well as unlisted (OTC) offerings.  Institutional and retail research is available upon request.

Mutual Funds

  • Experienced guidance in recommending and selecting professionally managed mutual funds for large and small investors.  Current prospectuses and literature is available upon request.

Government and Agency Securities

  • We offer all forms of government securities, including Treasury Bonds, Notes, and Bills; GNMA and FNMA mortgage-backed securities; and zero coupon bonds.

Corporate Bonds and CDs

  • For those seeking competitive taxable current yields, we offer listed and unlisted corporate bonds and convertible bonds, and broker federally insured certificates of deposit from other financial institutions.

Tax-Exempt Securities

  • Through our bond trading desk, and our clearing company, we offer a variety of attractive, tax free, municipal bonds from local and national issuers.

Educational Plans

  • We offer UTMAs, Coverdell Educational Savings Accounts and 529 College Savings Plans.

Professional Money Management

  • We serve as your advisor, supervising your portfolio and recommending changes to keep your investments aligned with the rapidly changing financial environment and your goals.  We also have access to the world's leading independent money managers through our clearing affiliate Pershing.

Retirement Plans

  • We help establish tax-advantaged retirement plans for individuals and companies.  Traditional IRAs, Roth IRAs, Simplified Employment Pension (SEP), SIMPLE, 401(k), and Profit Sharing Plans are all available.  

401(k) Rollovers

  • If you have retired or changed jobs, we can help you move your 401(k) to a self-directed retirement account.  You will avoid penalties and taxes and allow your retirement savings to continue to grow tax-deferred while having complete control of your assets.

Money Market Funds

  • We offer money market funds that emphasize quality, income, and preservation of capital.  Cash management and tax-exempt funds are also available.  Current prospectuses are available upon request.

Stock Options & Stock Option Financing

  • We can assist you with options strategies to suit your particular investment objectives.  We can also assist you with the timing and exercise of employee stock options, including cashless exercising.  Current options risk disclosure documents and additional information is available upon request. 

Annuities and Life Insurance

  • Through HWG Agency, our insurance affiliate, we help clients obtain competitively prices policies for life insurance, annuities, long-term care and disability.

 

Investment Planning

  • From paying for education, to preparing for retirement, we work with you to develop and implement a lifetime plan for protecting your interests, and achieving your dreams.