General Securities Principal Exam

First Western Trust Hires Chuck Watts as Regional President for Arizona

Retrieved on: 
Wednesday, August 18, 2021
Private Securities Litigation Reform Act, University, Federal Deposit Insurance Corporation, U.S. Securities and Exchange Commission, GLOBE, CFA, SEC, Nasdaq, Wells Fargo, Equal housing lender, FINRA, CFA Institute, Bank of America, Boy, Sumathi Best Television Current Reporting Award, Phoenix metropolitan area, Forward-looking statement, China Executive Leadership Academy in Pudong, Region, Review, Risk, Trust, National Association of Affordable Housing Lenders, NASDAQ, Bank, News, CEO, Private banking, BBVA, FDIC, Organization, General Securities Principal Exam, Chartered Financial Analyst, Merrill (company), COVID-19, Annual report

PHOENIX, Aug. 18, 2021 (GLOBE NEWSWIRE) -- First Western Trust Bank* (First Western Trust), a wholly-owned subsidiary of First Western Financial, Inc. (NASDAQ: MYFW), today announced the hiring of Chuck Watts as Regional President for Arizona.

Key Points: 
  • PHOENIX, Aug. 18, 2021 (GLOBE NEWSWIRE) -- First Western Trust Bank* (First Western Trust), a wholly-owned subsidiary of First Western Financial, Inc. (NASDAQ: MYFW), today announced the hiring of Chuck Watts as Regional President for Arizona.
  • Mr. Watts comes to us with over 35 years of wealth management and banking experience, most recently developing and leading teams as regional head of Wells Fargo's Private Banking team in Arizona and several nearby states.
  • First Western Financial, Inc., a financial services holding company, and its wholly owned subsidiary, First Western Trust, are headquartered in Denver, Colorado.
  • *First Western Trust Bank is an Equal Housing Lender, and is a member of the Federal Deposit Insurance Corporation (FDIC).

US Capital Global Securities Launches $3 Million Convertible Note Offering for FanFood, Inc.

Retrieved on: 
Thursday, May 27, 2021
Finance, Financial markets, Money, United States securities law, Brokerage firms, Financial Industry Regulatory Authority, Broker-dealer, Security, General Securities Principal Exam, Securities market participants

San Francisco, California, May 27, 2021 (GLOBE NEWSWIRE) -- US Capital Global Securities LLC , an affiliate of US Capital Global, is offering eligibleinvestors an investment opportunity of up to $3 million in FanFood, Inc. (FanFood).

Key Points: 
  • San Francisco, California, May 27, 2021 (GLOBE NEWSWIRE) -- US Capital Global Securities LLC , an affiliate of US Capital Global, is offering eligibleinvestors an investment opportunity of up to $3 million in FanFood, Inc. (FanFood).
  • All securities are offered by the group through its FINRA -member, SEC-registered broker-dealer affiliate, US Capital Global Securities LLC.
  • This $3 million convertible note offering aims to support FanFoods continued rapid expansion across the United States and abroad.
  • www.fanfoodapp.com
    US Capital Global Securities LLC (USCGS) is the FINRA-member broker-dealer division of US Capital Global that acts as placement agent for growth-stage companies, projects, and investment funds.

Sachem Capital Corp. Appoints Senior Finance and Capital Markets Executive Bill Haydon as Chief Investment Officer

Retrieved on: 
Monday, May 10, 2021
United States securities law, Finance, Financial markets, Financial District, San Francisco, Money, Professional certification in finance, Financial regulation, General Securities Principal Exam, Financial Industry Regulatory Authority, Uniform Investment Adviser Law Exam, Wells Fargo, Security

b'BRANFORD, Conn., May 10, 2021 (GLOBE NEWSWIRE) -- Sachem Capital Corp. (NYSE American: SACH) announced today that William C. Haydon has been appointed Chief Investment Officer and Director of Investor Relations earlier this month.

Key Points: 
  • b'BRANFORD, Conn., May 10, 2021 (GLOBE NEWSWIRE) -- Sachem Capital Corp. (NYSE American: SACH) announced today that William C. Haydon has been appointed Chief Investment Officer and Director of Investor Relations earlier this month.
  • Haydon is a senior finance and capital markets executive with over 25 years of experience in financial services and investment banking.
  • Prior to joining Sachem Capital Corp. in 2021, he served as a Portfolio Manager and Branch Manager at Wells Fargo Advisors Financial Network from 2011.
  • Mr. Haydon has held numerous FINRA securities registration designations including Series 65, 7, and a Series 24 General Securities Principal registration.

US Capital Global Securities Raises $10 Million in Growth Equity Financing for EQITrade Limited

Retrieved on: 
Tuesday, April 6, 2021
Financial markets, Finance, United States securities law, Money, Brokerage firms, Financial Industry Regulatory Authority, Broker-dealer, Security, Securities market participants, General Securities Principal Exam

All private placements, securities, and other related services are offered by the groups FINRA-member broker dealer affiliate, US Capital Global Securities LLC.

Key Points: 
  • All private placements, securities, and other related services are offered by the groups FINRA-member broker dealer affiliate, US Capital Global Securities LLC.
  • US Capital Global Securities served as the lead financial advisor for this capital formation, said Pankaj Vashisth, Vice President at US Capital Global.
  • www.eqibank.com
    US Capital Global Securities LLC is the FINRA -member broker-dealer division of US Capital Global that acts as placement agent for growth-stage companies, projects, and investment funds.
  • To learn more about US Capital Global, email Jeffrey Sweeney, Chairman and CEO, at [email protected] or call +1 415-889-1010.

US Capital Global Securities Launches $7MM Preferred Stock Offering for Dianomi Therapeutics, Inc.

Retrieved on: 
Tuesday, February 9, 2021
Financial markets, Finance, Money, United States securities law, Financial Industry Regulatory Authority, Security, Broker-dealer, Securities market participants, General Securities Principal Exam

San Francisco, California, Feb. 09, 2021 (GLOBE NEWSWIRE) -- US Capital Global Securities LLC , an affiliate of US Capital Global, is offering to eligible investors an investment opportunity of up to $7 million in Dianomi Therapeutics, Inc. (Dianomi).

Key Points: 
  • San Francisco, California, Feb. 09, 2021 (GLOBE NEWSWIRE) -- US Capital Global Securities LLC , an affiliate of US Capital Global, is offering to eligible investors an investment opportunity of up to $7 million in Dianomi Therapeutics, Inc. (Dianomi).
  • All securities are offered by the group through its FINRA -member, SEC-registered broker-dealer affiliate, US Capital Global Securities LLC.
  • We are excited to be launching this preferred stock offering in partnership with US Capital Global Securities, said Barry Kurokawa, CEO and Co-Founder of Dianomi.
  • US Capital Global Securities LLC (USCGS) is the FINRA-member broker-dealer division of US Capital Global that acts as placement agent for growth-stage companies, projects, and investment funds.

Blumark's Jill Tullio Earns Series 24 Designation - Expanded Knowledge and Qualifications Will Better Serve Securities Clients

Retrieved on: 
Wednesday, September 4, 2019
United States securities law, Professional certification in finance, Economy, Finance, Financial services, General Securities Principal Exam, Financial Industry Regulatory Authority, Financial adviser, Adviser, Uniform Investment Adviser Law Exam

The General Securities Principal exam, commonly referred to as the Series 24 exam, is administered by FINRA.

Key Points: 
  • The General Securities Principal exam, commonly referred to as the Series 24 exam, is administered by FINRA.
  • Ms. Tullio, a founding Partner at Blumark, had these thoughts about achieving the Series 24 designation: "This builds on my background as a financial advisor.
  • It's necessary to expand your personal knowledge base and skills to support the growth and expansion of the business."
  • "Whenever we expand our knowledge and expertise and make personal improvements, we improve how we serve our clients.