Private Client Group

Products and Services for Unique Financial Needs

ThinkEquity provides a broad spectrum of financial products and services to corporate and investor clients throughout the United States, Europe, Asia and South America. The core of our business mission is offering our clients products and services to meet their unique financial needs and goals. From comprehensive investment banking and brokerage capabilities for our corporate clientele, to proprietary private placements and value-added services for our investor clients, we are truly “Focused on Your Financial Future”.


Choose from a Broad Range of Financial Products

Whether you are planning for retirement, to fund a college education, or you want to speculate or trade your account, we offer investors a wide range of financial products to meet your financial and strategic objectives. For the sophisticated, accredited investor we also provide access to proprietary investment opportunities, such as private placements of debt and equity securities. Each investor’s goals are unique.

Our Registered Representatives have the information and experience to direct clients toward appropriate investment decisions. Even in declining equity markets, we strive to find investments that rise above and outperform the rest. (Higher-risk methods of investment are not suitable for every investor.)

  • Listed
  • OTC
  • Options

With a focus on value and special situations, fixed-income instruments and asset-backed securities are generally viewed as offering yield without a commensurate increase in risk. Investors looking for more diversification to balance the risk in a portfolio might consider fixed-income instruments.

  • Treasuries
  • Corporate Bonds
  • Asset-Backed Securities
  • Tax-Free Funds
  • Diversified Funds
  • Foreign Funds
  • Government Bond Funds
  • Index Funds

(For qualified, accredited investors only)

  • Debt Securities
  • Equity Securities
  • Convertible Preferred

New investors may join this private network by qualifying pursuant to certain definitions as promulgated under Regulation D. To review investor qualifications and register, please click here.

Investor Services that Meet Today’s Financial and Corporate Demands

We offer a complete suite of investor services, including many value-added services, in an effort to make your experience with us pleasing and satisfying. From convenient Advantage Accounts, to 144 filings and conversions, we help investors meet the challenges of today’s financial and corporate environment.

Our Value-added, Specialized Client Services Include:

Processing of special situations:

  • Sales pursuant to Rule 144, resales of restricted and control securities
  • Exercise of warrants
  • Convertible preferred stock conversions

Money Market Accounts with cash sweep privileges as well as Advantage Accounts, offering in one convenient place:

  • A brokerage account
  • Cash Sweep of idle cash into either a Bank Deposit Account or a Money Market Mutual Fund
  • Convenient checking against the Combined Asset Value of your Account
  • A convenient, secured line of credit (available through Margin Loan Value)
  • Consolidated activity reports for all these transactions

Qualified Retirement Plans

  • Individual Retirement Accounts (IRAs)
  • Roth and Educational IRAs
  • Keogh Plans
  • Employer Based Plans

Additional Benefits

  • Online access to your accounts 24 hours a day, 7 days a week
  • An efficient and responsive staff that is always available to assist you and answer your questions or concerns

We offer a select group of qualified investors the opportunity to review offerings of innovative middle market and emerging companies worldwide. New investors may join this private network by qualifying pursuant to certain definitions as promulgated under Regulation D. To review investor qualifications and register, please click here.

Trading Services that Boast a Competitive Advantage

Our trading division is dedicated to providing superior trading services. Our professionals utilize trading strategies to meet the day-to-day needs of our investor clientele, as well as specialized strategies for those seeking more sophisticated options and equity-option trades. We offer expeditious, quality execution at the best price reasonably available. We buy and sell securities on all major and most minor exchanges, and our network of industry contacts provides us with a distinct competitive advantage in completing large or strategic trades. 

Our clientele consists of banks and hedge funds based in North America and Europe, investing in event-driven, corporate actions, risk arbitrage strategies, and investment banking deals. Our desk analyzes publicly announced mergers and acquisitions involving listed companies. Based on fundamental research, competition, antitrust and other regulatory reviews, the desk will determine the relative risk/reward proposition of the deal and the potential annualized rate of return to advise its clients and trade the embedded spread.

Our Specialized Trading Services Include

  • Quality executions
  • Best executions under NASDAQ order handling rules for thinly-traded securities
  • Risk arbitrage analysis and actionable trade ideas
  • Specialized execution of sensitive and large orders, spreads, rations and proprietary algorithms
  • Low-cost execution for block trades
  • Wide array of trading relationships
  • Market making capabilities
  • Electronic access to all major markets