SIPC

Synapse Announces New Partnership with AMG National Trust

Retrieved on: 
Wednesday, May 3, 2023
Software, Finance, Banking, Data Management, Small Business, Professional Services, Technology, Fintech, FINRA, AMG, SIPC, Synapse, Financial Technologies Group, BIN, Cryptocurrency

Synapse Financial Technologies, Inc., a regulated embedded finance platform that increases access to best-in-class financial products, today announced it is partnering with AMG National Trust (“AMG”), a Denver-based wealth manager and national bank, to enhance Synapse’s capacity to rapidly deliver innovative digital financial services to fintechs and their customers.

Key Points: 
  • Synapse Financial Technologies, Inc., a regulated embedded finance platform that increases access to best-in-class financial products, today announced it is partnering with AMG National Trust (“AMG”), a Denver-based wealth manager and national bank, to enhance Synapse’s capacity to rapidly deliver innovative digital financial services to fintechs and their customers.
  • “We are thrilled to welcome AMG National Trust to our expanding list of bank partners that enable us to offer world-class financial services to our customers,” said Synapse CEO and co-founder, Sankaet Pathak.
  • “As a regulated embedded finance provider, Synapse can offer the best terms and services from across our bank partner ecosystem to fintech companies and enterprises.
  • “Since our inception, AMG has been committed to growing and evolving our business to meet the needs of our clients.

New Jersey-Based Wealth Management Team Partners with Dynasty Financial Partners to Launch Premier Path

Retrieved on: 
Tuesday, May 2, 2023
Personal Finance, Finance, Consulting, Professional Services, Fintech, Linda, Diamond, Marketing, Research, Civil Service (United Kingdom), Fidelity Investments, Retirement, SIPC, Dynasty, NYSE, Fidelity, Software, Financial adviser, Management, Investment

For Shirl Penney, Dynasty's CEO and co-founder, “Mike Lehman and his impressive team are a great fit for the independent wealth arena.

Key Points: 
  • For Shirl Penney, Dynasty's CEO and co-founder, “Mike Lehman and his impressive team are a great fit for the independent wealth arena.
  • Besides Dynasty Financial Partners, Premier Path has selected Fidelity, eMoney, and Black Diamond as resources.
  • Fidelity Investments provides clearing, custody, or other brokerage services to Premier Path through National Financial Services LLC or Fidelity Brokerage Services LLC, Members NYSE, SIPC.
  • Working with Fidelity Investments gives Premier Path access to a wide range of products and services that can help them serve the needs of their clients.

Odeon Capital Continues Growth with Head of US Rates Hire

Retrieved on: 
Tuesday, May 2, 2023
Consulting, Banking, Professional Services, Finance, HSBC, Salomon Brothers, MSRB, Research, Broker-dealer, SIPC, FINRA, Growth, Entrepreneurship, Citibank, NFA, Odeon, Capital Group Companies, Financial adviser, Security (finance)

Odeon Capital Group LLC (“Odeon”), a New York-based independent Broker-Dealer with trading, investment banking, and research services, has rehired Stefan D’Annibale as the Head of US Rates Sales and Trading to optimize and continue to grow the firm’s treasury business.

Key Points: 
  • Odeon Capital Group LLC (“Odeon”), a New York-based independent Broker-Dealer with trading, investment banking, and research services, has rehired Stefan D’Annibale as the Head of US Rates Sales and Trading to optimize and continue to grow the firm’s treasury business.
  • Mr. D’Annibale, former Head of North American Rates Trading at HSBC, brings over 25 years of sales and trading experience at large money banks and hedge funds.
  • His experience also includes roles at Salomon Brothers, MKP Capital Management, LLC., and Citibank.
  • "I'm very excited to re-join Odeon to work with Evan and the team to build a larger presence in the US Government bond markets.

Dominari Financial CEO, Kyle Wool, Scheduled to Appear on Fox Business Network's "Mornings with Maria" on April 27

Retrieved on: 
Thursday, April 27, 2023
Morgan Stanley, CRS, MSRB, Mission, Wall Street, FDIC, Wealth management, SIPC, Investment, Broker, FINRA, Security (finance)

Wool is a successful Wall Street veteran, having held numerous positions across leading firms in private wealth management and asset management.

Key Points: 
  • Wool is a successful Wall Street veteran, having held numerous positions across leading firms in private wealth management and asset management.
  • At Dominari Financial, he is focused on building a dynamic and modern financial services organization that is at the forefront of wealth creation and preservation.
  • Dominari Financial offers Securities Brokerage and Registered Investment Adviser Services through Dominari Securities LLC, its wholly-owned subsidiary, and a Member of FINRA, MSRB, and SIPC.
  • You can check the background of Dominari Securities and its registered investment professionals and review its SEC Form CRS on FINRA's BrokerCheck site at https://brokercheck.finra.org .

Thumzup Ranked in the Top 15 Percent of Actively Registered Reg A+ and Reg CF Offerings*

Retrieved on: 
Wednesday, April 26, 2023
Online, Common stock, Bank statement, App Store (iOS/iPadOS), Uber, Bandao Broadcasting Media Corporation, Risk, Regulation, Traction, SIPC, Investment, Regulation A, FINRA, Growth, Ecosystem, NYSE, Social media, Dalmore, Security (finance), Broadcasting, Airbnb, Venmo

(Los Angeles, CA), April 26, 2023 (GLOBE NEWSWIRE) -- Thumzup Media Corporation ("Thumzup" or the "Company") (OTCQB: TZUP) is excited to announce it has received over $320,000 in subscriptions to its qualified Regulation A+ offering. *According to an analysis of KingsCrowd data, Thumzup is now in the top 15 percent of currently active offerings under Regulation A+ and Regulation CF, ranked by amount raised as of April 21, 2023[1]. The Company has now received investment capital of more than $3.5 million since inception.

Key Points: 
  • *According to an analysis of KingsCrowd data, Thumzup is now in the top 15 percent of currently active offerings under Regulation A+ and Regulation CF, ranked by amount raised as of April 21, 2023[1].
  • “Thumzup is actively driving growth through a multi-faceted approach by expanding our client base and boosting user adoption of our app.
  • We believe that the increasing traction with our Reg A+ offering should help facilitate these goals and more.
  • Please download the offering circular and review it in its entirety before considering an investment in Thumzup: www.thumzupmedia.com/invest

Joseph Gunnar to Sponsor the Sequire Investor Summit in Puerto Rico

Retrieved on: 
Friday, April 21, 2023
Banking, Asset Management, Professional Services, Finance, IPO, MSRB, Rulemaking, Research, Financial Industry Regulatory Authority, Municipal Securities Rulemaking Board, SIPC, Investment, OTC, La Concha Renaissance San Juan Resort, FINRA, Knowledge, Gunnar, Security (finance), Buttonwood

Joseph Gunnar & Co., LLC ("JGUN"), a leading full service broker-dealer, investment adviser and investment bank, focused on the emerging growth markets, is proud to announce its sponsorship of the upcoming Sequire Investor Summit.

Key Points: 
  • Joseph Gunnar & Co., LLC ("JGUN"), a leading full service broker-dealer, investment adviser and investment bank, focused on the emerging growth markets, is proud to announce its sponsorship of the upcoming Sequire Investor Summit.
  • One of the standout highlights of this year's summit is the focus on attractive tax laws in Puerto Rico, which offer a unique tax-friendly environment for both funds and investors.
  • "JGUN is thrilled to be sponsoring the Sequire Investor Summit Puerto Rico," said Chief Executive Officer Joseph A. Alagna.
  • For more information about the Sequire Investor Summit, including registration details, please visit the official event website at https://puertorico.srax.com/
    About Joseph Gunnar & Co.
    Joseph Gunnar & Co., LLC is a full-service boutique investment banking, securities and wealth management firm with main offices in New York.

Univest Securities, LLC Announces Closing of $11 Million Initial Public Offering of Class A Ordinary Shares for its Client Top KingWin Ltd (Nasdaq: TCJH)

Retrieved on: 
Thursday, April 20, 2023
LLP, Education, Sale, Prospectus, SIPC, Offering, FINRA, Form, SEC filing, Security (finance), File

In addition, the Company has granted the underwriters a 45-day option to purchase up to an additional 412,500 Class A ordinary shares at the public offering price after the closing of Offering, less underwriting discounts.

Key Points: 
  • In addition, the Company has granted the underwriters a 45-day option to purchase up to an additional 412,500 Class A ordinary shares at the public offering price after the closing of Offering, less underwriting discounts.
  • Univest Securities, LLC acted as book runner for the offering.
  • Pacific Century Securities, LLC and AC Sunshine Securities LLC acted as co-managers for the offering.
  • Olshan Frome Wolosky LLP acted as U.S. counsel to Univest in connection with the Offering.

FDCTech's 2022 Annual Report Highlights: Record revenue and gross margin set the platform for future profitable growth

Retrieved on: 
Tuesday, April 18, 2023
Agreement, BVI, Financial Industry Regulatory Authority, CMAS, CIM, CMA, Securities Investor Protection Corporation, Education, ADS, AJB, Malta Financial Services Authority, Law, Broker-dealer, Acquisition, SIPC, FDC, Companies Act, FINRA, Growth, The Company, License, AD, Letter, Hand, Virgin Islands, MFSA, Investment Company Act of 1940, Cryptocurrency, Security (finance), Financial adviser

Irvine, CA, April 18, 2023 (GLOBE NEWSWIRE) -- FDCTech, Inc. ("FDC" or the "Company," OTCQB: FDCT), a fintech-driven company specializing in buying and integrating small to mid-size legacy financial services companies, today announced the following results for the fiscal year ending December 31, 2022, as compared to the corresponding period of last fiscal year:

Key Points: 
  • The Company’s successful integration of wealth management and enhanced technology businesses drive a 1,310% increase in annual revenue and a staggering 2,310% increase in gross margin.
  • The gross margin generated for the fiscal year ended December 31, 2022, and 2021 were $1,018,940 and $42,277, an increase of 2,310% from the previous period.
  • The net loss as a percentage of revenue decreased from 379% to 16% for the fiscal year ending December 31, 2022, compared to the previous period.
  • The cash on hand was $264,829 as of December 31, 2022, compared to $93,546 on December 31, 2021.

Dominari Securities Acquires Broker Team with $700 Million in Assets Under Management

Retrieved on: 
Tuesday, April 18, 2023
Fifth Avenue, Trump Tower, CRS, Culture, MSRB, Mission, Policy, FDIC, Acquisition, SIPC, Investment, FINRA, Growth, Financial adviser

NEW YORK, April 18, 2023 /PRNewswire/ -- Dominari Holdings Inc. (Nasdaq: DOMH) (the "Company") today announced that its wholly-owned subsidiary, Dominari Securities LLC, a FINRA licensed broker-dealer, has added an asset management team that manages over $700 million in client assets to its organization. This is the first significant acquisition since the division officially launched earlier this month after the purchase of the broker-dealer and registered investment adviser divisions of Fieldpoint Private Securities.

Key Points: 
  • NEW YORK, April 18, 2023 /PRNewswire/ -- Dominari Holdings Inc. (Nasdaq: DOMH) (the "Company") today announced that its wholly-owned subsidiary, Dominari Securities LLC, a FINRA licensed broker-dealer, has added an asset management team that manages over $700 million in client assets to its organization.
  • Kyle Wool, CEO of Dominari Financial Inc. stated, "we are excited to have launched our broker-dealer division and are proudly open for business.
  • Our first team includes brokers who manage over $700 million in client assets and generate approximately $7 million in top line revenue annually.
  • Securities Brokerage and Registered Investment Adviser Services are offered through Dominari Securities LLC, a Member of FINRA, MSRB and SIPC.

Univest Securities, LLC Announces Closing of $3.0 Million Registered Direct Offering for its Client AnPac Bio-Medical Science Co., Ltd. (NASDAQ: ANPC)

Retrieved on: 
Friday, April 7, 2023
ADS, American depositary receipt, SEC filing, Sale, Prospectus, SIPC, Offering, FINRA, Form, Security (finance)

The pre-funded warrants are immediately exercisable and may be exercised at any time until exercised in full.

Key Points: 
  • The pre-funded warrants are immediately exercisable and may be exercised at any time until exercised in full.
  • The Company also issued to Univest Securities, LLC, which acted as the sole placement agent for the offering, warrants exercisable for 37,500 ADSs, with an exercise price of $4.80.
  • The gross proceeds to the Company from the registered direct offering were approximately $3.0 million before deducting the placement agent’s fees and other offering expenses.
  • Copies of the prospectus relating to the Offering may be obtained from Univest by email at [email protected] , or by calling +1 (212) 343-8888.