Carty & Company, Inc.
Bill Carty, with the help of 10 angel investors, incorporated Carty & Company
July 22, 1970
The Carty family recognizes the need for an organization which can provide investors with the attention, service, and products they deserve without sacrificing the knowledge and resources that the large Wall Street firms had to offer.
Carty & Company Institutional Sales Group (ISG) is formed
We don’t expect your business. We earn your business. Carty & Company’s Institutional Sales Group (ISG) is ideally placed to provide our customers the very best executions and service in all financial products and markets
Outside stockholders were bought out and Bill Carty owned 100% of Carty & Company, Inc.
Carty & Company registered with the SEC
In a highly regulated environment like the stock market, it’s essential to work with an investment firm that is registered with the SEC to protect your investment, your assets, and your employees.
NASD merges with NASDAQ to become FINRA.
The year NASD merged with the regulation, enforcement, and arbitration arm of the New York Stock Exchange to form the Financial Industry Regulatory Authority (FINRA).
Carty partners with Pershing, LLC.
Pershing, LLC, was the industry’s largest provider of clearing and settlement solutions.
Expansion of institutional department.
Carty & Company celebrates 50 years of success.
Did you know…
Transactional vs Fee Based
For most fixed income investors, an account at Carty & Company will be less expensive and the client will have more control over the account than in a fee based advisory account.