Investment Banking 2018-08-17T10:46:39+00:00

Investment Banking

Wellington Shields’s Investment banking team works with a broad range of companies, both private and public, domestic and international and at every stage of growth. We help clients attain their goals by providing assistance with mergers and acquisitions and financing. Our team emphasizes simplicity, creativity and speed when helping clients respond to challenges and opportunities when evaluating strategic alternatives, defining key business issues and finding the right solutions to propel their business ahead.


For companies that have already gone public, we can refinance or raise capital for growth through a registered direct shelf offering via the S3 registration process, which is quick and cost effective. In fact, we have the capabilities to complete Overnight Shelf Offerings that provide companies with capital within 24-48 hours of deciding to access the capital markets.

Whether it is privately held or publicly traded, Wellington Shields can assist companies in direct private offerings of securities to a limited number of sophisticated investors. These retail and institutional investors can include hedge funds, pension funds, insurance companies, stock funds, trust, and high net worth private clients and can be completed quickly since it does not require the registration process with the SEC.

Wellington Shields is well positioned to access the private equity investment community. We assist promising growth companies in accessing the dynamic market of private/venture capital investors in equity and equity-related securities. Securing an equity “sponsor” is one of the most important milestones in the success of a young company. These equity investors range from financial investors such as venture capital funds and later stage private equity groups to strategic corporate venture funds.

Wellington Shields can structure financing using traditional assets such as account receivables, inventory and equipment. We can also finance nontraditional assets such as patents and contracts. Given our numerous funding options, we have the flexibility to structure a low interest loan, focus on the maturity or complete the transaction quickly, depending on the customized need of the client.

For private companies looking to raise capital via an initial public offering, there may be reasons to do so quickly. Through a simultaneous reverse merger with a public shell entity and capital raise, companies can benefit from this viable alternative to obtain publicly traded status, at a lower cost and within a shorter timeline.

Wellington Shields can assist companies in securing short-term financing solutions in order to help you stabilize and/or grow your business. Bridge loans can be used to finance projects, to purchase commercial real estate, and to take advantage of short-term financing opportunities in order to secure long-term financing.

With two trading desks and as a New York Stock Exchange member, our traders can efficiently process corporate buyback programs and execute block trades for individuals. By using our trading and technical expertise coupled with state of the art algorithms, corporations and individuals can access careful execution pricing possible. With our institutional and retail sales force, we can use our resources to locate possible buyers for blocks of stock for sale.

A stock loan is the lending of funds collateralized by shares of a publicly traded stock that are owned by the individuals or corporations, domestic or foreign. It gives the borrower access to the liquidity of the assets without actually selling the stock, thereby avoiding capital gain tax and filing requirements for affiliates. The term of the stock loan is typically three to five years and we can broker a nonrecourse loan with no personal liability. In other words, if there is a default, the borrower keeps the loan proceeds and the lender only claims the collateral. The borrower’s liability is limited to the collateral pledged for the loan.

Companies often find themselves overleveraged and have a pending large debt repayment. Our experienced banker can help management negotiate extensions, convert debt into equity or fund it. Through innovative programs like Rule 149 Section 3(a)(9), we locate investors that can purchase and convert the debt at attractive terms to the corporations, dramatically improving the balance sheet by reducing debt and increasing shareholder equity.

Armed with both domestic and international experience internally, as well as through an extensive professional network, the Wellington Shields investment banking team can address a broad spectrum of corporate strategy needs, whether merger & acquisition oriented or via business development initiatives. We can provide assistance with product distribution and distribution agreements, joint ventures, and introductions to strategic partners. We can also make recommendations regarding the selection of board members and corporate governance.

At Wellington Shields we can provide recommendations regarding listing on the OTCBB, NASDAQ or AMEX and NYSE. With our international relationships, Wellington Shields bankers can also help select the most appropriate stock exchange throughout the world. Whether you are a mining company looking to list on the Toronto Stock Exchange versus the Hong Kong Stock Exchange or an emerging growth company looking to list on the Frankfurt Stock Exchange versus the OTCQX, we can guide you in your selection and introduce you to key people involved with the exchange.

Wellington Shields investment bankers can help your company create and implement a business plan for growth by developing a customized approach to enhancing your business that includes more than financings. Our team of professionals can offer innovative alternatives to the more traditional aspects of investment banking financings.

Wellington Shields investment bankers can create an appropriate corporate strategy dealing with the buying, selling, and combining of companies designed to add shareholder value. If your company is looking to expand operations, increase long-term profitability, or to increase economies of scale, our Investment Banking team can assist with customized advisory strategies designed with your company in mind. Moreover, we can advise companies on how to best utilize their stock as currency, for acquisitions and roll-up situations.

Wellington Shields investment bankers can provide a corporate buyer or seller with a very valuable tool – an opinion and/or analysis of fair or actual company and transaction value based on alternative testing and comparative metrics.