Anthony Mario Capozza

Founded in 1988 by Gregory Serras, Vanguard Capital is a general securities broker/dealer located in San Diego, California. The firm offers a full array of trading and execution services. They do not provide internal research. Vanguard Capital is registered with FINRA, the SEC and the Commodities Futures Trading Commission (CFTC). The firm is a member of the SIPC, the National Futures Association (NFA) and the Securities Industry and Financial Markets Association (SIFMA). Custodial services for Vanguard Capital's broker/dealer and investment advisory clients' assets and portfolios are provided by Pershing LLC and Charles Schwab Corp.

Founded in 1993, First Allied Securities, Inc. is an independent, SEC-registered broker/dealer headquartered in San Diego, California. The firm is a member of FINRA, the NASD and the SIPC. First Allied Securities Inc. was previously a subsidiary of Advanced Equities Financial Corp. In April 2006, Advanced Equities Financial Corp. acquired First Financial Planners and merged it with First Allied Securities. In 2008, the firm acquired First Montauk Securities Corp. from First Montauk Financial Corp. In 2011, Lovell Minnick Partners LLC and the management team of First Allied Advisory Services acquired the firm from Advanced Equities Financial Corp. First Allied Securities is affiliated with First Allied Advisory Services, Inc., a registered investment advisor. The firm provides a full array of trading and execution services for their clients. They do not provide any internal research.