Guide To Know About The Alpine Securities

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A self-clearing brokerage house and has a boutique investment company and Alpine Securities Corporation in Salt Lake City, Utah. They  are committed to meeting the needs of our institutional and retail clients and providing unique investment possibilities in fast-growing startups. Their staff made an experienced group of experts who cater to the unique demands of our clients. For many individual and unique institutional clients, Alpine offers specialist investment services. The owner and creator of the investment management company Alpine Group USVI LLC are charles kim alpine.

History Of Alpine

Alpine Securities was founded in 1984 and has spent more than 30 years serving private and business clients. It comes to offering Exchange Traded Funds (ETFs), Mutual Funds, and Listed and OTC Equity Securities, Alpine is a market leader. The Nasdaq Stock Exchange is a member of Alpine are managed by charles kim alpine.

Alpine provides clients with brokerage, retirement, and educational accounts. Open individual or joint brokerage accounts, self-directed Traditional IRAs and Roth IRAs, and Coverdell Education Savings Accounts with the assistance of our professionals.

Why do You need To Choose Alpine?

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Clients that need assistance with accounts for corporate entities, LLCs, partnerships, trusts, or custodial accounts can turn to Alpine. The evaluation, clearance, and settlement processes for physical and electronic certificate deposit personnel committed to assisting clients. Our skilled staff can help you comprehend the registration and exemption procedure for examining and clearing unregistered securities.

For illiquid or restricted securities, we also offer custody and safekeeping services. Additionally, Alpine provides a wide range of services to securities issuers, such as DTC eligibility and Form 15c-211 applications for OTC Markets listing. Additionally, Alpine offers clearing and settlement services to introduce broker-dealers, freeing them to focus on successfully expanding their companies.

Clearing of certificates

Alpine dedicated to ensuring all investors and shareholders have a location to deposit their shares and is one of the market leaders for clearing OTC stock. Allow the experience team at Alpine to lead you through the procedure. Among these services are:

  • Insiders’ 10b-5 plans for corporations.
  • Sales 144 shares of restricted stock to officers, directors, and affiliates.
  • All stockholders must have a physical certificate, DWAC, DRS, and ACAT approval.

15c2-11 Filing & Market Making

Will you create a market for your security? We are one of the industry leaders when filing 211 applications with FINRA and developing markets for OTCQX, OTCQB, and OTC Pink issuers. According to FINRA regulation 15(C)2-11, Alpine is qualified to submit form 211 to permit a company’s securities to trade in the open markets because it is a market maker.

Application & Submission for DTC

The DTC application procedure might be challenging; let our knowledgeable team help you through it. The Alpine team is knowledgeable in the DTC submission procedure.