|
|
 |
| |
|
Home > Financial Services > Stock Brokers > Cantella & Co. Inc.
Cantella & Co. Inc.
Cantella & Co., Inc. is a member of NASD the National Association of Securities Dealers. NASD is a self-regulatory organization of the securities for security 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.
Cantella’s business is to work with individuals and companies providing asset management and investment advice. Cantella provides advisory services to Clients by and through Advisory Representatives. These services consist principally of investment and financial planning guidance entailing an investigation of client needs and investment choices to meet those needs.
Cantella utilizes an array of research related materials and databases to aid in selection of investment choices and recommendations. Cantella subscribes to a number of statistical, ranking, and other data services such as Lipper, Fund Tools, and Morningstar in addition receives equity and fixed income research from clearing correspondents and other sources.
Cantella generally prefers that those individuals associated with determining or giving investment advice have a college degree and/or significant business experience in the securities industry as well as any required federal or state licensing. Cantella has adopted a Code of Ethics governing the conduct of its employees. Philip C. McMorrow has been appointed as Chief Compliance Officer of Cantella.
Some Independent Registered Representatives of Cantella operate their own Outside RIA. Cantella generally provides service support such as processing information, trades, billing, and reporting of transactions.
As a registered broker/dealer, Cantella may receive compensation for clearance and execution services, as well as payment for order flow and certain balances in accounts. Payment for order flow may be received from various sources and is described on confirmations sent to clients in accordance with current rules of the NASDR and SEC. A payment for order flow disclosure statement describing such payments is mailed to all clients annually.
Cantella operates principally as a NASD registered broker/dealer and its advisory activities are a part of these overall operations. As a registered broker/dealer, the firm receives compensation for execution services, clearance and payment for order flow and for balances in accounts such as 12b1 fees.
Financial Services Companies
all are here at FinancialBrowsers.com Permission is granted to reproduce this article as long as the above resource paragraph is left intact with active links.
Back to Stock Brokers
|
|
|
|
|
|
|