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Published by sblack, 2018-03-07 13:25:46

National Securities Brochure

SB - National Securities Brochure

Our Focus:
Your Results.

Client-Focused Financial Services
You come first. For more than 70 years, National has
helped clients pursue their financial goals.
Results matter. To help clients achieve better results,
National utilizes:

üü An Innovative, Independent, and Diversified Platform
üü Traditional and Unique Investments and Strategies
üü Premiere Solutions, Services, and Support

Solutions To Help Create, Manage & Protect Wealth

Brokerage – Transaction execution with integrity and transparency
Investment Advice – Fee-based stewards of wealth management
Corporate Finance – Advise, structure, and raise capital
Financial Planning – Strategies to create, grow, and protect wealth
Estate Planning – Effective wealth transfer to desired beneficiaries
Insurance & Annuities – Mitigate risks from markets, mortality, longevity
Accounting & Tax – Plan and pay lower taxes; retain more earnings

About The National Group of Companies
Founded in 1947, National Securities Corporation is one
of the nation’s largest independent broker-dealers and
together with its affiliates, offers brokerage, wealth
management, and investment banking services to
individual and institutional clients.

National affiliates offer fee-based investment advice,
portfolio management, insurance, annuities, tax
preparation, financial and estate planning.

Collectively, the National Group of Companies provides
comprehensive and diversified financial solutions.
Our “customer first” vision drives our mission to help
create, manage, and protect wealth for clients.

v02.14.18

Our Focus: Your Results

National’s Financial Professionals operate their practice
with freedom and flexibility. This allows our representatives
to focus on your goals without compromise. In turn, you
receive the attention, expertise, and service you deserve.

You

Your Financial Professional

National1

−− Securities2 −− Insurance Solutions4
−− Investment Banking −− Tax & Financial
−− Asset Management3
Services5

Clearing and Custody

Fidelity Clearing & Custody Solutions®

Fidelity Clearing & Custody Solutions® (FCCS), a division of Fidelity
Investments® provides a comprehensive clearing and custody
platform.

1 National Holdings Corporation (NHLD) is the parent corporation of a number of affiliated
financial services companies.

2 Securities offered through National Securities Corporation (NSC), Member FINRA/SIPC

3 Advisory services offered through National Asset Management (NAM), an SEC registered
investment advisor.

4 Fixed insurance products offered through National Insurance Corporation (NIC)

5 Gilman Ciocia (National Tax and Financial Services) is our group of tax preparation
professionals offering accounting services to clients of all sizes. Gilman Ciocia is also a
registered mortgage broker with the NYS Banking Department and provides a variety of
lending services, including mortgages, equipment leasing, and business financing. GC
Capital Corporation is a mortgage brokerage business licensed with the Florida State
Banking Department.

Brokerage
At National Securities Corporation, we provide access to traditional
and innovative investment opportunities. From full service
brokerage accounts to compelling growth opportunities in the
shares of private company “unicorns”, we execute transactions for
investors with integrity and transparency.

Asset Management
At National Asset Management, we align our success with your
success via fee-based accounts. We strive to understand clients’
desired outcomes and deliver customized portfolio management
solutions.

Investment Banking
Our full service investment bank draws on decades of experience
and trusted relationships with top-tier firms to serve the capital
markets needs of corporate issuers of any size. We offer financial
and strategic advice, mergers and acquisitions services, initial and
secondary offerings, and private placements. Our bankers enjoy
exclusive access to the distribution power of hundreds of Financial
Professionals, managing billions of dollars.

Insurance
National Insurance Corporation has relationships with many
leading, highly-rated insurance and annuity providers. Our agents
have the knowledge and experience to utilize financial products
and planning strategies to help mitigate risks posed by markets,
longevity, mortality, illness, and other challenges. With advanced
products and planning, insurance and annuities can enhance
financial well-being and facilitate the protection and effective
transfer of wealth to desired beneficiaries.

Accounting, Tax Planning & Tax Preparation
Our tax planning division is committed to helping clients take the
most efficient approach to tax planning. Our accountants and tax
preparers work to ensure clients utilize the most tax advantageous
accounts, structures, and strategies to minimize taxes and maximize
wealth. We review previously filed tax returns for errors and prepare
current returns to maximize deductions. Our goal is simple: don’t
just pay your taxes, plan them.

Research
National’s research department prides itself on being objective and
for generating actionable ideas. Our analysts’ unbiased research
reports identify buy, sell, and hold opportunities in an effort to best
serve investors.

Our analysts draw upon their significant industry experience to
conduct in-depth analysis of individual companies and sectors.
Focusing primarily on five sectors, biotechnology, BDCs/RICs,
technology, oil & gas, and equity REITs, our analysts provide a
value-added service to representatives and to institutional clients
by identifying compelling opportunities, business catalysts, entry
and exit points.

Asset Protection

Accounts with Fidelity Clearing & Custody Solutions® (FCCS), a
division of Fidelity Investments®, are protected in accordance
with the Securities Investor Protection Corporation (“SIPC”) up to
$500,000. For more details or to request a SIPC brochure, visit
www.sipc.org or call 202.371.8300.

FCCS also has arranged for coverage above these limits. Neither
coverage protects against a decline in the market value of
securities, nor does either coverage extend to certain securities
that are considered ineligible for coverage.

“Excess of SIPC” Coverage
In addition to SIPC protection, FCCS provides for brokerage
accounts additional “excess of SIPC” coverage through Lloyd’s
of London, together with other insurers*. The excess of SIPC
coverage will be used only when SIPC coverage is exhausted.
Lloyd’s of London currently has an A+ rating (Strong) from
Standard & Poor’s, AA- (Very Strong) from Fitch and A (Excellent)
from A.M. Best.†

* Fidelity’s excess of SIPC insurance is provided by Lloyd’s of London, together with AXIS

Specialty Europe Ltd., Markel International Insurance Company, XL Specialty Insurance
Company and Munich Re Insurance Co.

† As of November 2017, and subject to change. For current ratings and explanation,

please go to: https://www.lloyds.com/lloyds/investor-relations/ratings.

Bold Leadership,
Innovative Solutions
Since 1947.

nationalsecurities.com Sheldon Black
Vice President - Investments
National Corporate Locations 100 N. Biscayne Blvd., Suite 2001
200 Vesey Street, 25th Floor Miami, FL 33132
New York, NY 10281 Phone: 786.464.8690
212.417.8000 Mobile: 850.251.3239
[email protected]
One Union Square, Suite 2900
600 University Street
Seattle, WA 98101
206.622.7200


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