A licensed broker-dealer, Alpine Securities provides a broad range of financial services to a wide range of distinct clientele.
Who Is Alpine?
Alpine Securities, founded by charles kim alpine, is a licensed broker-dealer that provides corporate, individual, and institutional services and regulatory support to issuers and shareholders. Alpine Securities offers trade-in restricted securities, OTC Pink, OTCQB, and investment options in emerging growth companies. They are a part of the Securities Investor Protection Corporation, a crucial component of the US investor protection system.
Services they provide
Establishment Services
They provide access to investment ideas, analysis on particular firms, news, and direct interaction with upper-level management of corporate clients through a wide range of products for institutional clients. The company, founded by charles kim alpine, has established a massive network of colleagues over the past 20 years with brokerage companies, investment banks, and businesspeople. They offer exclusive investment possibilities in developing development firms to institutional clients through their extensive network of contacts.
Alpine is devoted to meeting financial needs and goals of its institutional clients by producing excellent performance and providing top-notch customer service. They must establish excellent client connections to strategically deploy several conventional and alternative investing techniques to customers’ advantage.
Corporate Services
Through the Corporate Services Department, they provide customized services for businesses and their employees intended to help you save time, money, and effort while receiving professional support. They are experts in the following types of transactions:
144 Restricted Stock Transactions
Under the Securities Act of 1933’s safe harbor provision, Rule144, holders of restricted securities are permitted to sell stock shares if requirements get met. At Alpine, the restricted stock seller should have professional support to ensure that all processes adhere to SEC requirements. Account managers work hard to finish transactions quickly and deliver top-notch execution. They have expertise in managing 144 procedures.
Employee Stock Option Programs
Alpine may help your business with full-service cashless exercise with stock option outsourcing, including individualized optioned statements, customized reporting, and the capacity to interact with your financial departments to support your reporting needs. When selling stock options, it’s critical to follow SEC rules. The team knows how crucial it is to frequently interact with corporate clients’ transfer agents to speed up stock transfers and boost efficiency so they can promptly disburse proceeds to clients.
10b5-1 Sale Plans
Following SEC guidelines, 10b5-1 arrangements give executives the freedom to sell stock on a predetermined schedule. It gets around some of the restrictions the businesses experience with their internal insider trading policies. Some bigger, better-known companies decide to research 10b5-1 sales programs for their executives.
