About Us...

Carty & Company's clearing facilities include a competent staff with many years of experience in clearing all types of securities. We clear our transactions on a fully disclosed basis through Pershing, LLC. This allows a smaller firm like ours to have access to all of the same technology, research, products, etc. that a Wall Street broker has available to him.

In a highly regulated environment, Carty & Company is a registered broker/dealer with the Securities and Exchange Commission and a member of the Financial Industry Regulatory Authority (FINRA).  Our customer’s funds and securities are protected by the Securities Investors Protection Corporation (SIPC) to the maximum limits provided.  Carty & Company is registered to transact business in all fifty states.

The protection provided by Securities Investors Protection Corporation does not guaranteed against market loss.