Investor Services

Fordham offers a complete suite of investor services, including many value-added services, in an effort to make your experience with us pleasing and satisfying. From convenient Advantage Accounts, to 144 filings and conversions, Fordham helps investors meet the challenges of today’s financial and corporate environment.

Our value-added, specialized client services include:

Processing of special situations:

  • Sales pursuant to Rule 144, resales of restricted and control securities
  • Exercise of warrants
  • Convertible preferred stock conversions

Money Market Accounts with cash sweep privileges as well as Advantage Accounts, offering in one convenient place:

  • A brokerage account
  • Cash Sweep of idle cash into either a Bank Deposit Account or a Money Market Mutual Fund
  • Convenient checking against the Combined Asset Value of your Account
  • A convenient, secured line of credit (available through Margin Loan Value)
  • Consolidated activity reports for all these transactions

Qualified Retirement Plans

  • Individual Retirement Accounts (IRAs)
  • Roth and Educational IRAs
  • Keogh Plans
  • Employer Based Plans

Online Internet access to your accounts 24 hours a day, 7 days a week

An efficient and responsive staff that is always available to assist you and answer your questions or concerns

Fordham Financial Management offers a select group of qualified investors the opportunity to review offerings of innovative middle market and emerging companies worldwide. New investors may join this private network by qualifying pursuant to certain definitions as promulgated under Regulation D. To review investor qualifications and register, please click here.