Overview

In business since 1990, Spencer Edwards brings together a diverse, qualified and proficient management team, seasoned brokers and professional equity traders with experience spanning four decades of market making.  Virtually every retail broker and financial principal employed by Spencer Edwards has in excess of twenty years of experience in the securities industry.  Thus, we can provide the most efficient buy or sell market transaction execution in the near term, as well as strive to maximize shareholder value over the long term. We particularly emphasize:

  • Facilitating liquidity in OTCBB securities.
  • Processing client 144 transactions.
  • Expertise in the small cap markets.

We believe the current economic uncertainties and recent global realizations have created significant investment opportunities in small cap companies, but the market for such companies is inefficient.  Hundreds of quality public companies still have only limited access to investment and working capital.  The consolidation in the financial services and commercial banking industries has also exacerbated this lack of access.  It is increasingly difficult in this environment for small to mid-size companies to attract the attention of regional or Wall Street brokerage and banking firms, also limiting their access to capital and effective advisory services.

Many of these small to mid-cap companies are under-followed and under-valued.  All this creates a unique opportunity for Spencer Edwards to bring both economic and intellectual capital to companies seeking to maximize their shareholders’ value.  Our primary investment banking focus is providing structured equity investments to give such companies the liquidity necessary to accomplish their strategic goals.  We are opportunity-focused and relationship driven.  Partnering with management teams that demonstrate superior sector expertise, have a proven track record of success, and the vision for market leading enterprise is the key to our corporate financing programs.  We believe such partnering builds long-term alliances through investments that align our interests with those of the companies we assist.

Companies with whom we associate as an investment banker will have access to our extensive relationships among institutional sources, venture capital, money management and investment banking firms, as well as with allied independent broker-dealers.

Check the background of this firm on FINRA’s BrokerCheck.