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Home > Financial Services > Stock Brokers > Institutional Capital Management, Inc.
Institutional Capital Management, Inc.
Institutional Capital Management, 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.
The firm was founded in 1996 and has experienced extraordinary growth since inception. Specializing in Mortgage Backed Securities with an emphasis on Collateralized Mortgage Obligations, they transacted close to $1 billion in securities business in 2004. The firm is an introducing broker for RBC Dain Rauscher. Formerly known as Dain Rauscher, it was purchased in 2003 by The Royal Bank of Canada for $1.5 billion in cash and today is one of the premier investment banking firms in the United States. Dain Rauscher has a proven history of providing exceptional correspondent services since 1979 and with execution and clearing capabilities on all principal exchanges is ideally suited to assist each of their client in achieving financial success. Today, RBC Dain Rauscher has over $20 billion in assets under management.
This affiliation with RBC Dain Rauscher enables them to provide two significant benefits to their clientele. Every of their client has the assurance that their investments are fully protected. Every trade is fully backed by the capital and strength of RBC Dain Rauscher.
Each account is protected by the SIPC, Securities Investor Protection Corporation, and by an insurance policy underwritten by Lloyds of London, which combine to protect each account up to $100 million. As an independent brokerage firm with trading autonomy, they are able to access the securities inventories of all the major investment firms throughout the U. S. in order to find investment opportunities which can best meet the specific investment objectives of each client.
The company is a very professionally managed company that believes in treating their staff as well as they treats their customers. This is because the company believes in the old saying that happy workers make for happy customers. This has proven true through the years for the company as proven by the customer retention and satisfaction as shown by the customers.
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