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Home > Financial Services > Stock Brokers > Ota Llc

Ota Llc

Ota Llc 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.

Founded in 1983, Ota Llc is at the forefront of qualitative and quantitative securities valuation. Ota first applied its quantitative skills to identify investment opportunity for its own account. Today, this is a full service broker with a select group of the most prestigious institutional investors in the United States.

Off the Record Research the firm was founded in early 1995 as an investment research company filling the need for reliable, ethical and unbiased journalistic research to supplement and counter traditional Wall Street analysis. The two firms merged in 1996 to provide a complete line of services to their institutional clients.

Their exclusive client list has enabled them to develop significant relationships with each customer. Together, as members of the Ota Financial Group, Ota Llc and Off the Record Research Llc are committed to remaining at the forefront of the changing financial markets for the benefit of their clients.

The firm holds the Investment Protection Principles created in the agreement between Merrill Lynch and Co. and the New York State Attorney General in the highest regard. The firm's public adoption of these principles serves to highlight the structure that has been instilled within Ota Llc for several years.

The corporation has no investment banking division. Their reporters' compensation has no link to any investment banking, thus allowing their research to be free of any conflict of interest.

They have established a monitoring process to ensure compliance with these principles. The firm has a global research staff of editors and reporters committed to following the highest ethical and journalistic standards in the pursuit of the information they gather. They have established relationships with a wide array of customers, competitors, suppliers and industry experts who participate in marketplace studies on a regular basis.

They continually seek out new sources to keep their flow of unique intelligence on the leading edge of trend identification and do not rely on guidance from company forecasts, which are frequently a lagging indicator. They have always believed that unbiased marketplace-based journalism gives their clients a valuable perspective and a competitive edge.

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