JWTT has over 35 years of investing experience tailored to the preservation and expansion of wealth for high net worth individuals. We offer leading products and services through our clearing relationship with Apex Clearing Corporation, member FINRA . Our analytical discipline and long-term investment strategies provide a conservative investment approach to suit your needs and objectives.
Joey Warmenhoven and Tom Thiel are the sole owners of JWTT Inc.
Our commitment to building your trust and forming long-term relationships are the cornerstones of our business. We are proud of our reputation and take great pleasure in helping our clients achieve their financial goals.
JWTT is one of the few investment banks dedicating a trading desk to the financial sector. We currently make markets in over 500 financial companies on the OTC and NASDAQ markets nationwide. Our network of high net worth individuals and institutional investors, as well as wire house brokers, gives us access to some of the more sophisticated investors in the country. JWTT commits its own capital to help create liquidity in the small cap financial market. Many issues we trade are illiquid and take expertise to navigate.
JWTT uses advanced technological tools to provide high-quality trading execution. We have access to the major market centers, dark pools, and algorithms that are equipped to handle block orders quickly and efficiently. We can do this anonymously and accurately as well. We strive to provide the most efficient execution and highest caliber of services for our clients, making markets fair and accessible.
Joey and Tom have over 35 years of combined experience helping corporations, executives, board members, and affiliates achieve their goals. We have deep knowledge in implementing and executing the following:
Stock Repurchase plans: There are complex regulatory rules and guidelines that must be followed when executing repurchase plans. We have worked on 100s of these plans over the years and know specifically how to execute. We also have access to large shareholders to bid for blocks of stock.
10b5-1 plans: They are a great tool to buy or sell securities for insiders or repurchase plans. They allow you to set a designated plan (price, date, size, time, etc.) that, when correctly established and implemented, allows you to stay in the market during blackout or restricted periods. We have extensive experience overseeing the use of these plans.
Restricted Stock and 144: JWTT has experience working with transfer agents and corporate counsel, filing the correct paperwork to get restricted shares clean and ready to be sold. We also help in filling out 144 paperwork and Form 4.
Cashless Stock Option Exercise: We have worked with dozens of companies to help facilitate cashless stock option exercises for their employees. Please contact us if you are interested in exploring a cashless stock option exercise for your company.
Dividend Reinvestment: JWTT works with many corporations, transfer agents, and clearing houses to purchase stock in the open market to cover dividend reinvestment plans.
Stock Lending/Margin: Through our clearing firm, JWTT allows borrowing against stock through a control account, as long as it’s suitable for the client, specific conditions are complied with and the appropriate agreements are executed. Clients can potentially borrow against less liquid securities on a case- by-case basis. Margin involves significant risks and is not appropriate for all clients. See the Margin Disclosure Statement for important information about the basic facts and risks involved with margin.
15c2-11 Filings: We have filed 100s of 211 forms, getting companies a symbol and listed on the OTC markets. We know the process and application and have experience with FINRA to better expedite the application.
OTCQX Market Sponsor: JWTT can assist companies that wish to be listed on the OTCQX exchange as a potential corporate sponsor.
DTC Eligibility: JWTT can assist issuers in having their stock made DTC eligible. This is an important process in helping the efficiency and trading of your issue. Having your stock electronically deposited at DTC will save your shareholders time and money when depositing shares at a broker -dealer. Though our clearing firm will, some brokerage firms will not accept non-DTC eligible issues.
Block Trading: JWTT has the capital, relationships, technology, as we do our best to execute within the framework of the markets, without largely impacting the liquidity or share price of your company.
Mutual Thrift Conversions: JWTT has deep relationships within the thrift, insurance and mutual conversion space. We can provide comprehensive advice on structure, proxy solicitation, the benefits of being public, the offering process and help structure a conversion that makes sense for you.
IRA Accounts: We service many IRA types such as traditional IRA, Roth IRA, SEP IRA, & Non-Qualified Accounts. In many case, we are able to facilitate physical shares, illiquid, and private investments held in IRAs.
Capital Raising
Joey and Tom have a long history of helping financial companies raise capital. We have our finger on the pulse of current markets and trends, as well as the valuation experience to help structure a deal that is beneficial to the company, its shareholders, and to investors. We see your vision and work with you to execute that vision. Whether small or large offerings, we have the resources and contacts to get the job done. JWTT can assist issuers with the right structure for their private offering.
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Important Customer Disclosures
Risks of Extended Hours Trading