Important Disclosure

*Correction to Video: National Securities and its affiliates have an approximate AUM of $15 Billion as of 9/30/2020

The views and opinions stated are those of Roger Monteforte and should not be construed as investment advice or a recommendation of any kind. Forward looking statements are estimates and should not be considered a guarantee of future performance. Investing in IPOs involves a higher degree of risk and may not be suitable for all investors. 

Mr. Monteforte is a licensed representative of National SecuritiesCorporation (NSC) and owner of Forte Capital Group (d/b/a), a non-affiliated branch of NSC. Mr. Monteforte is an investor in Palantir Technologies, and has an ownership interest in the Manager (Innovation X Management) of the Fund that was created to invest in Palantir securities pre-IPO. The Manager is managed by National Asset Management (“Advisor” or “NAM”) and Mr. Monteforte pursuant to the terms of the Manager’s operating agreement, with NSC serving as placement agent. NSC, NAM, and the Manager are affiliates of National Holdings Corporation (NHC).

NHC is the parent corporation of several affiliated financial services companies. Securities and Variable Insurance Products are offered through National Securities Corporation, member FINRA/SIPC. National Securities Corporation (NSC) is a full service brokerage firm, operated primarily through independent registered representatives. Accounts are carried by National Financial Services LLC, Member NYSE/SIPC, a Fidelity Investments® Company. Fee-based investment advisory services are offered through National Asset Management (NAM), an SEC registered investment advisor. Insurance products, including fixed indexed annuities, (but not variable products), are offered through National Insurance Corporation (NIC). National Tax and Financial Services (NTFS) provides accounting services, tax planning and preparation.