Individual Clients

Carty & Company’s Retail Brokerage Service’s

Clients who want the experience, guidance and recommendations of a registered representative but want to be the ultimate decision maker when it comes to their investment accounts, will benefit from a traditional broker/dealer account. For most fixed income investors, an account at Carty & Company will be less expensive and the client will have more control over their account than in a fee-based advisory account. Carty & Company is a general Securities Broker/Dealer offering most types of investments to retail investors. Our primary business is in recommending, buying, and selling fixed income securities (bonds) on a transactional basis.

Once you have established a relationship with us, we will recommend an investment strategy and product mix based on your investment profile, investment objectives and risk tolerance, guiding you on the path to reach your financial goals. You will pay a one-time fee or commission per transaction, which will be included in the price and yield you receive. We do not charge an annual fee based on assets. For a one-time fee per trade or transaction, we will execute the trade, send you a confirmation of the transaction with all the details, collect your interest monthly, send you a monthly statement that includes all transactions, price your holdings, and provide other pertinent details about your account.