SSC will provide a clear view of the market environment, and offer competitive pricing and superior execution. Our experience in the institutional market will enable us to structure your institutional borrowing needs into competitive investment products for distribution to retail and institutional markets.

In the past year, SSC underwrote and distributed approximately $2 billion in municipal note and bond debt. SSC also maintains inventory positions, and trades secondary markets in municipal notes and bonds. Any interest earned on municipal securities may be subject to state and local taxes and (if applicable) Alternative Minimum Tax (AMT).

This past year, SSC participated in the creation and distribution of approximately $1 billion in mortgage-backed securities.

SSC underwrites directly with Federal Home Loan Bank, Federal Home Loan Mortgage Corporation, and Federal National Mortgage Association.

SSC can structure, underwrite, and distribute investment grade institutional debt structures, retail debt structures, and trade secondary markets.

SSC has the ability to purchase assets for securitization, securitize and distribute assets for its clients, and underwrite and distribute debt securities—both taxable and tax-exempt.

SSC structures, underwrites, and distributes taxable as well as tax-exempt debt. The Fixed Income Finance Group provides analytics for new money, as well as refunding structures to assist clients in optimizing their debt structures and minimize the cost of issuance.

Companies considering strategic alternatives or contemplating changes in ownership and/or control of assets can count on Sovereign Securities Corporation, LLC's Corporate Advisory group to guide them through the transaction process.

SSC is required to maintain a business continuity plan to prepare for any interruptions to our normal course of business. This plan is reviewed and tested annually, and updated as necessary. This plan outlines the actions SSC will take in the event of a building, citywide or regional incident that disrupts business activity. These actions may include relocating technology and operations personnel to alternative facilities.

• Audited Financial Statements
• Quarterly FOCUS Report
• Delivery Wire Instructions