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Spencer Edwards, Inc.


Spencer Edwards, Inc. 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.
 
Spencer Edwards, Inc. is a privately held investment company that provides capital and advisory services to small and mid-cap public companies. The firm was established primarily to make direct investments in public companies with substantial growth potential in emerging market segments, or industries that are undergoing dramatic change. Almost every broker employed by Spencer Edwards Investments has over 15 years of experience in the securities industry. Following the attacks on September 11, 2001, the U.S. government enacted the USA Patriot Act, which is designed to prevent the use of the U.S. financial system to help fund terrorism and other crimes. The Act imposes a series of new anti-money laundering requirements on brokerage firms and other financial institutions. While Spencer Edwards, Inc. has always had a money-laundering prevention program, in response to the Act, the Company has undertaken efforts to further enhance these existing policies and procedures.

Spencer Edwards, Inc. Investments has brought together a diverse management team with experience spanning three decades of trading. Companies they invest in will have access to an extensive relationship among venture capital, money management and investment banking firms, as well as with other broker-dealers. Thus, they can provide the most efficient transaction execution in the near term, as well as maximize shareholder value over the long term. They particularly emphasize Assessing and prioritizing a company's strategic options Discerning new business opportunities, including merger and acquisition candidates Facilitating liquidity in company securities through market making and research.

Spencer Edwards, Inc. has developed a Business Continuity Plan that outlines their response to events that significantly disrupt business. Since the timing and impact of disasters and disruptions is unpredictable, they must be flexible in responding to actual events as they occur.

With the past performance of the company in mind and the expertise and dedication of the management and staff the company is expected go to far greater heights in the near future.
 

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