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Home > Financial Services > Stock Brokers > Carty & Company, Inc.
Carty & Company, Inc.
Carty & Company is a member of NASD, the National Association of Securities Dealers. NASD is a self regulatory organization of the securities industry responsible for the operation and regulation of the NASDQ stock market and over the counter markets. It also administrates exams for the investments professionals, such as the series of 7 exams.
The Company is a general securities broker founded in 1970 for the purpose of dealing primarily in municipal bonds. Carty has over 60 employees, servicing thousands of clients all over the country. The Company strives to serve every client as if they were their only clients. They realize that investors have a choice, so their brokers make it their first priority to help their customers make investment decisions that are suited to their individual needs and wants. In an ever growing crowded marketplace, Carty realizes to stand out and continue to exist, customer service, honesty, and integrity.
At Carty & Company, Inc. they endeavor to give their clientele a full range of financial products at the best available prices. The Company’s clearing facilities include a competent staff with many years of experience in clearing all types of securities, and an operations department with advanced computer hardware and software.
As direct participants in the Depository Trust Company DTC, Carty self clears DTC eligible transactions through their Memphis office. This procedure is identical to that employed by major broker or dealers located on Wall Street. Further, they have an omnibus agreement with Bankers Trust Company, New York, to clear physical transactions.
They also have an arrangement with National Financial Services in New York to clear their equity transactions. This allows a smaller firm like theirs to have access to all of the same technology, research, and products that a Wall Street broker in New York has available to them. They have the control and efficiency of self clearing and also the benefits of being associated with a large New York firm.
In a highly regulated environment, Carty & Company is a registered broker or dealer with the Securities and Exchange Commission and a member of the National Association of Securities Dealers, Inc. Their customer’s funds and securities are protected by the Securities Investors Protection Corporation SIPC to the maximum limits provided. Carty & Company is registered to transact business in the majority of the U.S.
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