Stock Securities LLC

ABOUT US

Stock Securities LLC is a FINRA and SEC registered broker-dealer specializing in corporate strategy, M&A transaction advisory and private placements. Founded in Princeton, New Jersey in 1993, Stock Securities, its predecessor and affiliated companies have initiated, arranged or otherwise participated as a principal in acquisition, private debt, merger, IPO, joint venture, private equity placement, private investment in public equity, and capital restructurings valued at more than $20.0 billion.

Stock Securities LLC is a U.S. Financial Industry Regulatory Authority (FINRA) registered broker-dealer, a U.S. Securities & Exchange Commission (SEC) registered firm, and a member of the Securities Industry Protection Corp. (SIPC).

Information about the Firm and its registrations can be found at the following links:

• https://www.finra.org

• https://brokercheck.finra.org/firm/summary/32244

• https://www.sipc.org