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is an NASD/FINRA registered and SIPC insured broker/dealer specializing in Investment Banking, Wholesale Syndication and the Development of Investment Pools in the form of Investment Companies for large institutions, banks and countries. The company may be found registered in the North American Securities Dealers Guide and is associated with a preponderance of registered principals.


The firm's range of Investment Banking is from the sale of large investment management firms to funding for smaller corporations and occasionally a start-up company. Criteria for involvement include uniqueness of the project, potential demand for the company's product or service, depth and ability of management, strategic rationale for investment and return on investment, whether for internal or external investors. Funding may involve private or public placement or both.


As a member firm of the previous National Association of Securities Dealers (NASD), now titled the Financial Industry Regulatory Authority (FINRA), NEWCOMB & COMPANY has access to several thousand brokerage firms and hundreds of thousands of registered representatives whose jobs are to raise investment funds. The firm routinely develops projects for sponsors of underwritings which can be syndicated on a national basis. Again, the range of monies raised ranges from smaller amounts to as much as $50 million; depending upon the nature of each project. Participations in larger syndications are not unusual, however, with NEWCOMB & COMPANY doing its part in projects in excess of $ 100 million.


The firm has participated in the ever-burgeoning development of investment companies in the United States and around the globe. Ranging from assistance in startups for small broker/dealers to giant financial institutions, the firm looks at the special requirements of any group wishing to develop mutual funds or other fund or investment vehicles. From advice on market entry to the implementation of development and location of distribution, the firm has been responsive to the needs of the marketplace. As a result, today billions of dollars of assets of investment companies are in the marketplace operated by companies which received assistance from firm personnel.


Its position in the related areas of Investment Banking, Wholesale Syndication, and Investment Company Development allows NEWCOMB & COMPANYto work for clients in a cohesive range from startup to publicly traded investments. This vertically integrated financial services support system provides direct contact with the appropriate market for each client and access to important related markets.