About Us

Carty & Company, Inc. was formed in 1970 to provide the individual and institutional investor the attention, service, and products needed without sacrificing any of the knowledge and resources that the large Wall Street firms had to offer.

Today, Carty & Company has over 60 employees, servicing thousands of clients all over the country. Carty & Company strives to serve every client as if they are our only client. Carty & Company realizes that investors have a choice, so their brokers make it their #1 priority to help their customers make investment decisions that are suited to their individual needs and wants. In an ever-growing crowded marketplace, Carty realizes to stand out and continue to exist, customer service, honesty, integrity, client education and continuous broker education and training are all musts. Carty believes that “honesty” and “integrity” are not just platitudes, but necessary tools to successful prospecting and retention of clients.

In a highly regulated environment, Carty & Company is a registered broker/dealer with the Securities and Exchange Commission (SEC) and a member of the Financial Industry Regulatory Authority (FINRA). Our customer’s funds and securities are protected by the Securities Investors Protection Corporation (SIPC) to the maximum limits provided. Carty & Company is licensed in 52 states and territories.

The protection provided by Securities Investors Protection Corporation does not guarantee against market loss.