| Scottsdale Capital Advisors Directory | |
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Stock that must be traded in compliance with special SEC regulations concerning its purchase and resale. These restrictions generally result from affiliate ownership, M&A activity, and underwriting activity. Read Before Investing |
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Stock that must be traded in compliance with special SEC regulations concerning its purchase and resale. These restrictions generally result from affiliate ownership, M&A activity, and underwriting activity. Read Before Investing |
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A retirement account that may be established by an employed person. IRA contributions are tax deductible according to certain guidelines, and the gains in the account are tax-deferred. 401k programs are initiated by employers and allow for employees tax deductible contributions that can be invested in company sponsored investment programs. A 401k is a type of profit sharing plan. Many companies match contributions though that is not mandatory. |
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ADR's |
Certificates issued by a US depository bank, representing foreign shares held by the bank, usually by a branch or correspondent in the country of issue. One ADR may represent a portion of a foreign share, one share or a bundle of shares of a foreign corporation. If the ADR's are "sponsored," the corporation provides financial information and other assistance to the bank and may subsidize the administration of the ADR "Unsponsored" ADRs do not receive such assistance. ADRs are subject to the same currency, political, and economic risks as the underlying foreign share. Arbitrage keeps the prices of ADRs and underlying foreign shares, adjusted for the ADR/ordinary ratio essentially equal. American depository shares (ADS) are a similar form of certification. |
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Securities trading after regular trading hours on organized exchanges. Read Before Investing |
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An annuity contract in which the amount of each periodic income payment may fluctuate. The fluctuation may be related to securities market values, a cost of living index, or some other variable factor. An annuity under which the benefit varies according to the investment results of a life insurance company's separate account, or sub-account (usually invested primarily in common stocks or bonds). Variable annuities The fluctuation may be related to securities market values. Call for details. Fix Annuities are similar in function except that the returns and annuity payments are fixed against a variable or fixed rate. The insurance company that issues the investment guarantees these rates of return. An immediate annuity will start making secure, guaranteed payments to you right away (usually within the first year of paying your premium). If you are still saving money for retirement, however, a deferred annuity is probably a better option for you. Deferred annuities enable you to grow your money through tax-deferred interest accumulation over a period of time before they begin paying you. After the accumulation period (usually 1, 5, or 10 years), the insurance company will begin making payments to you based on the income option you selected. After the accumulation period no monies or principal is returned. Contrary to some articles, annuities offer excellent opportunities for the right investor. Read Before Investing |
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Assisted Trading |
Trading in securities in which the financial professional assists relative to time, price, execution, and suitability. Read Before Investing |
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Bonds are debt and are generally issued for a period of more than one year. The US government, local governments, water districts companies and many other types of institutions sell bonds. When an investor buys bonds, he or she is lending money. The seller of the bond agrees to repay the principal amount of the loan at a specified time. Interest-bearing bonds pay interest periodically. Read Before Investing |
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Interim financing of one sort or another used to solidify a position until more permanent financing is arranged |
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Also called a time deposit this is a certificate issued by a bank or thrift that indicates a specified sum of money has been deposited. A CD has a maturity date and a specified interest rate, and can be issued in any denomination. The duration can be up to five years. |
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General debt obligation of a corporation that can be exchanged for a set number of common shares of the issuing corporation at a pre stated conversion price. Read Before Investing |
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Preferred stock that can be converted into common stock at the option of the holder. See also: participating convertible preferred stock. Read Before Investing |
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Debt obligations issued by corporations Read Before Investing |
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Capital raises designed around your company’s needs and abilities. |
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An amount that has been earned but is not actually paid until a later date, typically through a payment plan, pension, or stock option plan. |
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An insurance policy that insures a worker or retiree in the event of an occupational mishap resulting in disability. Insurance benefits compensate the injured worker or retiree for lost pay or pay for outpatient or home care. |
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Electronic Communications Network. Defined under Rule 11Ac1- 1(a)(8) under the U.S. Securities Exchange Act of 1933. This process allows for direct access to other investors and market marker through that ECN. Read Before Investing |
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A company contributes to a trust fund that buys stock on behalf of employees |
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The preparation of a plan to carry out an individual's wishes as to the administration and disposition of his/her property before or after his/her death. |
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Trusts that comprised of a portfolio of stocks that are traded on the NYSE or AMEX Read Before Investing |
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Professional managed accounts managed for a fee rather than a commission. Read Before Investing |
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Evaluating the investing and financing options available to a client. Planning includes attempting to make optimal decisions, projecting the consequences of these decisions for the client in the form of a financial plan, and then comparing future performance against that plan. |
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A fund that may employ a variety of techniques to enhance returns, such as both buying and shorting stocks according to a valuation model. See trading platforms for hedge funds. Read Before Investing |
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Fees charged by the hour if warranted or for clients that prefer this payment relative to traditional fee schedules. |
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Offered at various locations. Personal appointments also welcome. |
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