Catalina Capital is committed to the highest standards of professional conduct and compliance with securities regulation. Catalina operates with strict adherence to the:
United States financial services regulatory environment, as framed by the Securities Act of 1933, Securities Exchange Act of 1934, Investment Company Act of 1940, Securities Investor Protection Act of 1970 and the Dodd-Frank Wall Street Reform and Consumer Protection Act
The primary business of Catalina is acting as investment banker and advisor for clients seeking capital in the institutional investor marketplace. In its capacity as investment banker and advisor, Catalina advises clients on how to develop investment offerings for institutional investors, coordinates the capital raising process for offerings, introduces prospective investors to its clients and interacts directly with potential investors on behalf of the clients.
Catalina accepts the role of investment banker and advisor only for clients that have an exceptional offering and commitment to investors. In view of that, Catalina performs a rigorous due diligence process before agreeing to proceed as exclusive placement investment banker and advisor for a client.
Catalina enters into a written engagement letter with each of its clients. These agreements include the scope of work to be undertaken by Catalina, the term of the engagement, the fee and expense reimbursement arrangements for that work, and confirmation that Catalina will adhere to all applicable securities regulations
Catalina maintains records of the work undertaken for clients for a minimum period of seven years.
Catalina seeks capital from institutional and high net worth investors only. In the United States, Catalina approaches only investors which are classified as accredited investors by Regulation D of the Securities Act of 1933 or qualified purchasers by the Investment Company Act of 1940.
Catalina maintains professional relationships with a significant number of institutional investors. Catalina is typically retained to raise capital from all or a significant sub-set of such investors.
Catalina Capital, LLC is headquartered in Los Angeles, CA (2029 Century Park East, Suite 400N Los Angeles, CA 9067) with experienced professionals on the ground in Los Angeles and Houston.
The licenses held by Catalina's registered representatives include: the FINRA Series 24, 79, 82, and 63. All security sales are offered by Finalis Securities LLC, Member FINRA / SIPC.
Let's Discuss How Catalina Capital Partners Can Help Your Business
