Personalized Investment Services
Customized, One-on-One Consultative Services
Cash Management
We encourage our clients to simplify their increasingly complex financial lives. Choosing the right cash management account can be confusing at times. One of our financial consultants can help you decide which one works best for you and your business.
Through our clearing agent, RBC Correspondent Services, a division of the Royal Bank of Canada, clients can choose among several robust asset management solutions, which combine a traditional brokerage account with cash management features. These products offer our clients a comprehensive and consolidated cash management solution and include the following:
- Money Market Funds with check writing
- Brokerage Account with check writing
- Visa® Debit card
- On-line Bill pay
- FDIC-insured CDs
- Margin Accounts
- Automatic Overnight Cash Sweeps
Visa is an independent company and is not affiliated with Joseph Gunnar & Co.
Equities
All of our financial consultants have access to electronic trading systems designed to give our clients the best possible executions for their orders. Our institutional equity professionals enjoy access to a full array of services including individualized handling of orders requiring special attention, such as liquidity concerns.
Equity trades are executed through multiple channels including Nasdaq, New York Stock Exchange (NYSE), specialist operations and third party markets. Our ultimate priority to our clients is execution quality.
Estate Planning/Wealth Preservation
Whether preparing for retirement, a future college education or planning for your heirs and beneficiaries, your long-term financial plan can begin today. One of our financial consultants can assist you in developing an appropriate Wealth and Estate Planning strategy.
Our professionals are sensitive to the unique needs of today’s corporate executives as well as non-corporate executives. Whether it be concentrated equity positions or restricted stock, our professionals have access to a variety of financial planning services including:
Concentrated Equity Solutions
Customized Collars
Equity Collars
Variable Forward Sales
Alternative Investments
Corporate Executive Services
Restricted Stock Transactions
Pension Plan Analysis
Profit Sharing Analysis
Education Planning/529 Plans
Financial Plan updates
Legacy Planning
Execution of strategies with your tax and legal advisors
Structured Products
Fixed Income
Our clients have access to a wide array of fixed-income vehicles including:
- Government Securities
- Agency Securities
- Tax-free Municipal Bonds
- Mortgage-backed Securities
- Corporate Bonds
- Convertible Securities
- Commercial Paper
- CDs
In addition, our financial consultants have access to fixed income inventory from more than 80 fixed income dealers through an internal electronic trading platform. This gives each financial consultant the ability to offer our private clients a wider range of fixed-income opportunities.
Investment Banking
If you are inclined and suitable, you will have access to a multitude of corporate finance transactions processed by our investment banking group. These include bridge loans, private financings of privately held and public companies, initial public offerings, secondary and follow-on public offerings, non-publicly traded REITS and debt recapitalizations.
Managed Money Programs
Through our clearing agent, RBC Correspondent Services, a division of the Royal Bank of Canada, our clients can choose from a variety of fee-based solutions ranging from fully bundled fee-based programs to individual services that complement an existing program.
A mutual fund wrap and separate account management programs provide clients with access to comprehensive solutions. Individual services are also available, including fee-based billing and performance reporting.
With help from our financial consultants licensed accordingly, clients can select specific professional money managers all in a fee-based environment. Once an appropriate profile has been structured based upon individual client financial needs, a suitable investment strategy is discussed with one of our financial consultants.
Mutual Funds
While mutual funds provide many advantages, the ultimate decision as to what specific fund is suitable can be challenging. We can help you decide which mutual fund is most appropriate for you based upon your financial and tax status, as well as your investment objectives.
A mutual fund is a company that invests in assets of various and diverse components. Every mutual fund comes with a specific investment objective, which can vary from capital appreciation to income to a combination of both. While mutual funds provide many advantages including diversification, liquidity and professional management, the ultimate decision as to what specific fund is suitable can be challenging to any client. Our clients have access to thousands of mutual funds managed by teams of portfolio managers and research staff. Numerous fund families are also offered ranging from basic money market funds to fixed-income/income-oriented funds to small-cap, as well as growth and balanced funds. Fidelity Mutual Funds are also available.
We can help you decide which mutual fund is most appropriate for you based upon your financial and tax status, as well as your investment objectives.
Retirement Services
Are you prepared to retire comfortably? Our financial consultants have access to a wide variety of retirement services.
Our financial consultants have access to a wide variety of retirement products and services ranging from Individual Solutions to Small Business Solutions and Income Planning Solutions. Clients can select from a comprehensive line of retirement products and selling tools to help meet retirement needs, including:
Individual Solutions
- Traditional IRA
- Roth IRA
- Rollover IRA
Small Business Solutions
- SEP-IRA, SIMPLE IRA
- 401-K, 403-B
- Defined Benefit Plans, ERISA Plans, Keogh, profit sharing and money purchase plans
Structured Notes
Structured notes are securities issued by financial institutions whose returns are based on, among other things, equity indexes, a single equity security, a basket of equity securities, interest rates, commodities, and/or foreign currencies. Thus, your return is “linked” to the performance of a reference asset or index. Structured notes have a fixed maturity and include two components – a bond component and an embedded derivative. Financial institutions typically design and issue structured notes, and broker-dealers sell them to individual investors. Some common types of structured notes sold to individual investors include: principal protected notes, reverse convertible notes, enhanced participation or leveraged notes, and hybrid notes that combine multiple characteristics.
Before investing in Structured Notes, it is strongly suggested that the “Risks and Other Considerations” in the below hyperlink be reviewed:
https://www.sec.gov/oiea/investor-alerts-bulletins/ib_structurednotes.html
Private Client Leadership
Demitry Portnoy
Supervising Principal – Private Client Services
Demitry’s career in the securities industry spans 20 years. Demitry started his career at American Capital Partners, where he worked for 5 years and developed from an Account Executive to Senior Vice President and later started his own Office of Supervisory Jurisdiction (OSJ), as a Supervising Principal. Demitry transitioned to Joseph Gunnar & Co. with his entire team where he has been an owner/operator of the Long Island branch for the past 11 years. Throughout his career, Demitry has managed over 50 Financial Advisors and he holds Series 7, 66, 63, 24 and Life and Health Insurance licenses.
Check the background of this professional on FINRA’s BrokerCheck.
Michael Wagner
Supervising Principal – Private Client Services
Michael Wagner’s career in the financial services industry spans over 18 years. Michael joined Joseph Gunnar & Co. in 2009 as a Senior Managing Director. Michael is a graduate of the Military Intelligence School in Massachusetts, served in the United States Army active duty in the 732nd Military Intelligence Battalion and is also a wartime veteran. Michael holds the Series 7, 63, 65, 24, 4 securities licenses and is also a licensed Life and Health Insurance agent.
Check the background of this professional on FINRA’s BrokerCheck.
Contact Us
Contact us for information about how one of our financial consultants can create a personalized financial plan for you or for information regarding our client services, please contact: