Equity Investments

Rhodes Securities offers both Listed and NASDAQ/OTC stocks for purchase in your account at Rhodes Securities. You may purchase individual securites or mutual fund of equities in your account.

How Can You Protect Your Wealth?

Equity Risk Management
Rhodes Securities Private Client Equity Derivatives team (thru Wachovia) offers equity risk management strategies for high net worth individuals. The group structures tailored strategies to meet the needs of private investors with concentrated single stock positions.

The building blocks of these strategies are over-the-counter equity options, private contractual arrangements between the investor and Wachovia the clearing company for Rhodes Securities.

These options are not publicly traded and can typically be structured according to the needs of each individual client. These strategies may appeal to investors with:

  • Low-cost basis stock.
  • Highly appreciated stock.
  • Stock acquired through a merger or acquisition.
  • Restricted stock.
  • Liquidity needs.
  • Diversification goals.

Establishing Your Equity Risk Management Goals
Rhodes Securities (thru Wachovia) offers hedging and monetization strategies which can be customized according to your parameters. When determining which strategies best meet your needs, some issues for consideration are:

  • What percentage of your current stock position do you anticipate hedging or monetizing?
  • What is your time horizon?
  • What are your short, intermediate, and long-term price targets on the stock, if any?
  • What are your liquidity needs? Is diversification one of your goals?
  • Are there any restrictions, legal or contractual, that impact your ability to sell shares? Are you subject to a lock-up agreement? Do you have “insider” or “affiliate” status with the company that issued the shares?