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Sophisticated Investments, Sound Management Spartan Capital Securities, LLC (Spartan Capital)is a full-service, integrated financial services firm that provides sound investment guidance for high net worth individuals and middle-market institutions. Our in-depth market knowledge, calculated risk management strategy and investment acumen have earned us a strong reputation as trusted financial advisors. Our philosophy is simple: Understand our clients’ financial objectives and execute accordingly. Our experienced investment professionals provide highly customized personal service, tailoring an asset allocation program to enable each client to meet their goals, with confidence. A Strong History, A Solid Future The founding partners of Spartan Capital bring decades of experience in the financial services industry, as well as extensive market knowledge coupled with investment banking and wealth management experience. We have built solid client relationships, global in scale but with local ties, with a diverse suite of capabilities, and unparalleled attention to detail. Our clients expect insightful, market-anticipating and strategic, goal-oriented service. At Spartan Capital, our job is to deliver creative, customized financial solutions, tailored to meet each and every client’s unique requirements. Investment Banking Spartan Capital offers quality advisory and investment banking services for emerging growth companies and entrepreneurs. Our goal is to develop lasting relationships with our clients as they grow their companies, and to execute their business plans from inception to fruition. We raise capital in both the public and private markets, structuring financing to meet long and short-term objectives. To support our clients, we raise capital at every level, from bridge loans for start-up companies, to private placements, PIPES and IPOs for middle market businesses. Mergers and Acquisitions Spartan Capital offers a full range of merger and acquisition services. Our expertise includes valuating, structuring, negotiating and financing a variety of business types. We also act as an advisor in the buying and selling of both public and private businesses and in the implementation of joint ventures. Our team aggressively identifies buyers and sellers, crafting strategic introductions for the benefit of all participants. Corporate Finance Spartan Capital works to identify emerging and existing companies seeking capital. We provide corporate finance services to a wide range of organizations, skillfully raising capital for public and private companies with bright futures. Private Equity Spartan Capital is a provider of private equity to the investing public. The private sector is a significant source of potential venture capital. By making private equity deals available to accredited investors, and not simply a limited community of hedge funds, institutions and banks, our clients have access to some of the most lucrative sectors in the market. Initial Public Offerings Initial Public Offerings (IPOs) are new issue securities that are being brought to the market by an underwriter and a selling group. These new issues can be equity, debt or preferred stocks and often trade on the NYSE, AMEX or NASDAQ in the aftermarket. Spartan Capital participates in equity and debt (both corporate and municipal) new issues and can discuss current new issues based on availability and your suitability. Stocks Stocks are a part, if not the cornerstone of nearly any investment portfolio. A stock is a share in the ownership of a company. Stock represents a claim on the company’s assets and earnings. Common and preferred are the two main forms of stock. At Spartan Capital, we offer comprehensive and thorough third-party analysis to compliment our own proprietary research. Please contact your Financial Consultant to assist in creating a diversified stock portfolio to meet your investment objectives. Options An option is a financial derivative that represents a contract sold by one party (option writer) to another party (option holder). The contract offers the buyer the right, but not the obligation, to buy (call) or sell (put) a security or other financial asset at an agreed-upon price (the strike price) during a certain period of time or on a specific date (exercise date). Options are extremely versatile and may be used to speculate on the movement of an index or security, or as a hedge to reduce the risk of holding a position. Options are sophisticated trading tools and can involve significant risk and are not suitable for all investors. Investors must be approved by Spartan Capital to invest in options and not all investors obtain such approval. Please discuss option strategies with your Financial Consultant to determine if options may be a suitable investment for you. Prior to buying or selling an option, an investor must receive a copy of “Characteristics and Risks of Standardized Options”. Copies of this document may be obtained from your Financial Consultant, the Compliance Department or the Options Clearing Corporation (OCC), One North Wacker Drive, Suite 500, Chicago, IL, 60606 (1-800-678-4667). Any additional documentation pertaining to options is available upon request from your Financial Consultant or the Compliance Department. Bonds Bonds (taxable and nontaxable) are the essence of many investors' portfolios. When you purchase a bond, you are lending money to the issuer. The issuer promises to pay principal and interest on a specified maturity date. Bonds generally tend to lower the risk profile of an investment portfolio ultimately providing lower and sometimes less risky but consistent returns. Spartan Capital’s seasoned, experienced consultants enjoy a long-standing reputation for finding quality and value in taxable and tax-exempt bonds. We offer both short-term and long-term fixed income strategies. Our broad range of bonds includes agency securities, corporate bonds, municipals, and treasuries. Your Financial Consultant could help you simplify the complex process of investing in bonds to enhance your investment income or prepare you for future expenses (college or retirement). Please discuss bond specifics such as: credit rating, maturity, coupon, prices, and yields with your Financial Consultant to identify if bonds are appropriate for you. Mutual Funds Mutual Funds offer individual investors the benefit of pooling their money with that of many other investors for greater buying power. They also allow investors to own many securities (stocks, bonds, and other products) that they could normally not afford to invest in individually. Other benefits offered by Mutual Funds are professional management and diversification. Many funds are available to meet specific investment styles such as growth, value, large cap, international, etc. We offer a diverse and extensive array of fund families. Spartan Capital through our strategic relationship with RBC Correspondent Services, has access to more than 250 mutual fund families and over 12, 000 load and no-load mutual funds. One of our Financial Consultants can assess your current financial situation and help you choose a mutual fund that is right for you. Individual Retirement Accounts Spartan Capital believes it is never too early to begin planning for your retirement. Individual Retirement Accounts (IRAs) are an important tool in helping you take control of your financial future. We offer a wide range of retirement programs: Traditional IRAs offer tax-deferred growth potential. All or part of your contributions are tax-deductible, reducing your taxable income. These deductible contributions are taxed only when making withdrawals, at which time many investors will be a lower tax bracket. Alternatively, the Roth IRA offers tax-free growth potential. After-tax contributions can grow tax deferred, and qualified withdrawals are tax free. We also offer Rollover IRAs. When you leave a job, you may roll your 401k into a Rollover IRA allowing your retirement savings to continue to grow tax-deferred, and broadening the range of available investment options. Please discuss your retirement goals with one of our Financial Consultants to create a personalized retirement plan. Margin Loans Whether you’re looking to increase your investment return, or need a convenient line of credit, a margin loan can help. Buying on margin allows you to own more securities than you could on a cash-only basis and potentially enjoy a greater return on your investment capital. Spartan Capital’s margin account, offered through RBC, enables investors to sell short and potentially profit from downward price movements. Margin borrowing increases your level of market risk, so the value of your investments can go down as well as up. You must repay your margin loan, regardless of the underlying value of the securities you purchased, therefore, if the equity in your account falls below the minimum maintenance requirements, RBC will issue a maintenance call requiring you to deposit additional cash or acceptable collateral. If you fail to meet a maintenance call, Spartan Capital may be forced to sell some or all of the securities in your account to protect its loan, with or without your prior approval. While many investors find margin to be a useful tool, the associated risks mean it’s not right for everyone. Please speak to your Financial Consultant to better understand the rules and requirements and determine if margin loans are right for you. Restricted Stock Services Let Spartan Capital handle your restricted stock services from start to finish. We will assist with the completion of all required documentation, legal counsel approval and physical clearance of your shares through the transfer agent.