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Wilmington Capital Securities
 
 
Annuities
Asset allocation
Bonds
Closed-End Funds
Investment Banking
Institutional Sales
IPOs
IRAs and 401Ks
Mutual Funds
Private Equity
Unit Investment Trusts
Currently all Wilmington Capital orders are offered through its clearing firm, RBC Correspondent Services (RBC CS), a division of RBC Capital Markets Corporation.

SEC Order Handling Disclosure


Annuities:
An Annuity is an insurance-based contract that provides future payments at regular intervals in exchange for current premiums. An annuity is a flexible investment, offering an excellent way for investors to save for retirement. Select either a regular stream of income or a lump sum payout at some future time. Fixed-rate annuities provide a guaranteed rate of interest. You may also elect a variable rate, which is dependent upon the underlying portfolio. Annuities offer a variety of features including: tax deferral, potential for guaranteed payments, and possible death benefits. However, annuities are not suitable for every investor. Your Wilmington Capital representative can help you decide if annuities would benefit your unique situation.

Asset Allocation:
Through Wilmington Capital's financial planning services, we can help you anticipate the financial situations you may encounter. This planning can provide a framework to help you manage your finances throughout your lifetime. Having a solid financial game plan helps define the strategy for a disciplined savings and investment program. This game plan is essential in meeting life's important financial goals.

Many individuals spend their time worrying about which stocks and bonds to own. While sound stock and bond selection makes a difference, studies have shown that asset allocation (the process of dividing your assets among stocks, bonds, and other investments to maximize returns for an appropriate level of risk) is more important than specific stock or bond picks. Investors must also be aware that diversification does not ensure against loss.

What this means is that Asset Allocation can be the key to your financial success. So whether you are investing in stocks, bonds, or any other products, Wilmington Capital can guide you to the right financial combination.

Bonds:
Bonds (taxable and non taxable) are the essence of many investors' portfolios. When you purchase a bond, you are lending money to the issuer. The issuer promises to pay principal and interest on a specified maturity date. Bonds generally tend to lower the risk profile of an investment portfolio ultimately providing lower and sometimes less risky but consistent returns. Wilmington Capitalís seasoned, experienced representatives enjoy a long-standing reputation for finding quality and value in taxable and tax-exempt bonds. We offer both short-term and long-term fixed income strategies. Our broad range of bonds includes agency securities, corporate bonds, municipals, and treasuries. Your Financial consultant could help you simplify the complex process of investing in bonds to enhance your investment income or prepare you for future expenses (college or retirement). Please discuss bond specifics such as: credit rating, maturity, coupon, prices, and yields with your broker to identify if bonds are appropriate for you.

Closed-End Funds:
A closed-end fund is a type of investment company whose shares are listed on a stock exchange or is traded in the over-the-counter market. The assets of a closed-end fund are professionally managed in accordance with the fund's investment objective and policies, and may be invested in stocks, bonds, or a combination of both. One major advantage of closed-end funds is the diversification they provide. Like other publicly traded securities, the market price of closed-end fund shares fluctuates and is determined by supply and demand in the marketplace.

Equities:
Equities, also referred to as common stocks, represent ownership rights in a corporation. Equities are an important part of a well-balanced portfolio and although entail more risk than other types of financial assets in the short run, they usually provide the highest returns and the greatest margins over inflation. Investors seeking to pursue growth as a long-term objective should consider common stocks.

If you are interested in equity investing and want to know more, contact Wilmington Capital today. With the help of Wilmington Capital's access to independent research, our Investment Executives have the most up-to-date market information that can make your equities choice the right one.

Initial Public Offerings (IPOs):
IPOs are new issue securities that are being brought to the market by an underwriter and a selling group. These new issues can be equity, debt or preferred stocks and often trade on the NYSE, AMEX or NASDAQ in the aftermarket. Wilmington Capital participates in equity and debt (both corporate and municipal) new issues and can discuss current new issues based on availability and your suitability. Speak to one of our experienced representatives to see if IPOs are right for you.

IRAs and 401Ks:
Wilmington Capital believes it is never too early to begin planning for your retirement. Wilmington Capital offers a wide range of retirement programs, including IRAs, Pension Plans and 401(k) Plans. Individual Retirement Accounts (IRAs) are an important tool in helping you take control of your financial future. There are now several options for your IRA, including the Traditional IRA and the Roth IRA.

Mutual Funds:
Mutual Funds offer individual investors the benefits of pooling their money with that of many other investors for greater buying power. They also allow investors to own many securities (stocks, bonds, and other products) that they could normally not afford to invest in individually. Other benefits offered by Mutual Funds are professional management and diversification. Many funds are available to meet specific investment styles such as: growth, value, large cap, international, etc. We offer a diverse and extensive array of fund families. A Wilmington Capital Investment Executive can assess your current financial situation and help you choose a mutual fund that is right for you.

Private Equity:
Most private equity investments are only available to institutions or hedge funds. Our role is to give our client the knowledge and exposure to current market trends and offerings available to those individuals interested in exposure to this asset class. This investment category is only available to our high net worth clients and institutional accounts. These investments can only be sold to clients with a minimum net worth of $1 million dollars or those who meet specific income parameters. These investments involve a high degree of risk and are often illiquid for extended periods of time.

Unit Investment Trusts:
A Unit Investment Trust is a fixed portfolio of securities packaged to accomplish a wide range of investment objectives from long-term growth to current income. The portfolio usually remains fixed throughout the life of the trust. Units or shares are then offered to individual investors.




Institutional Sales:
Wilmington Capital offers full institutional brokerage services to hedge funds, money managers, investment advisors, insurance companies and corporations. Our staff of qualified professionals will individually work your order through a mix of different execution platforms. We also have access to multiple ECNs and have multiple options in our desire to get you the best execution for your order. Wilmington Capital also offers Institutional Services in the sales of Rule 144, Rule 144K and Rule 10b-5(1) for corporate executives as well as high net worth private investors.

Investment Banking:
The Investment Banking Professionals of Wilmington Capital have been successful in addressing the needs of niche and middle markets. Wilmington Capital provides a wide range of financing solutions for companies in every stage of the business cycle in a variety of industries. Our team is skilled in maintaining and growing shareholder value in ever changing market conditions.

Our Investment Banking Team primarily works with companies with a market capitalization of less than $200 million. We help you build and implement strategic plans that can quickly impact the growth of your company. Our organization is committed to extending the highest level of expertise to the management of your company.




Not all investments are suitable for everyone. Your Wilmington Capital Investment Executive can provide you with more information, including more complete details on investment objectives, risks, fees, charges and expenses.
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