Alpine Securities is a registered Broker Dealer that offers a wide variety of financial services to a variety of different client profiles. This page contains information on our institutional and corporate services. For information on our other services including Stock Issuer Services and Shareholder Services, click the appropriate link to go to that page.

Institutional Services

We offer services for introducing brokerage clients and would be pleased to discuss this service with you in full detail.

Institutional Services Include:

• Cash Brokerage Accounts
• 144 Restricted Stock Transactions
• Excellent trading execution on both principal and agency transactions
• Self-Clearing (expedites transfers, payments to customers, etc.)
• Execution on sizeable positions

144 Restricted Stock Transactions

Rule 144, promulgated under the Securities Act of 1933, is a safe harbor provision that allows holders of restricted securities to make sales of stock when certain conditions are met. Some of the general requirements imposed under Rule 144 include a one-year holding period before any resale may be made, issuer must be fully reporting, volume limitation requirements, manner in which the shares are sold and affiliate status.

At Alpine, we feel that the seller of restricted stock should have expert assistance to ensure that all procedures comply with SEC regulations. Our account executives are experienced in handling 144 procedures and strive to complete transactions in a timely matter and provide excellent execution.

For additional information please contact our Account Executive team by e-mail at houseaccounts@alpine-securities.com