A Firm Understanding:  Equity Capital Markets

In May of 2008 Duncan-Williams, Inc. made a strategic decision to expand its 40-year-old business model into Equities and created an Equity Capital Markets division. This new plan is part of the 500 @ 50 strategic growth initiative which was started in January of 2008. The mission of Equity Capital Markets is to provide our clients with the best possible service in research, sales, trading and investment banking and have a strict disciplined approach on customer satisfaction which strengthens long term relationships. At DWI we understand that long term relationships are earned over time and this is accomplished by always putting our clients first. Everything we do in our business is to add value for our clients with a focus on customer service.

One of the goals of ECM is to become a leader in providing small cap equity research in defined sectors and build knowledge verticals within those sectors. Our approach in research will be deep, vertical and niche in our coverage sectors. We have strong relationships with many small cap companies in the U.S. and we want to grow with our clients as they grow their business model. We believe this approach will allow us to become a leading regional firm in Equity Capital Markets.

The strong cohesive team culture that exists at Duncan-Williams, Inc. today is very important in how we execute our business. Over the last 40 years we have built a team culture that is not found at every Wall Street firm. We take great pride in our rich culture and this has allowed us to build long lasting relationships which will help us effectively grow all our business units like Equity Capital Markets.