Client Testimonials
Noel Caldwell of Commonwealth Advisors, on her experience with CCM …
We began our relationship with CCM earlier this year. Tom Shugrue visited our firm to
establish an understanding of how our firm works and to see how his firm could fit into
what we do. This is somewhat foreign to me because I have never met any of the representatives
of the other soft-dollar firms we used in the past. I've found these folks to be exceptionally
responsive to my trade inquiries, unlike experiences I've had with other soft-dollar brokers.
I mention this because before Carolina Capital, I used to think having to use a soft-dollar firm
was a painful and long process only to receive less than desirable bids. I would often be lucky
to get a bid on the same day in which I called my representative, but with CCM, they are back to
me in more than adequate time with competitive bids.
I have become very familiar with their back
office folks and while we have not yet had any trade errors, I feel confident they will handle them
with the same professionalism with which they conduct themselves every day. The only settlement
issues I have had were due to my custodians or an error on my side. CCM is very thorough in their
process and are always available to assist me with any issues I may have; I've really enjoyed
getting to know the different members of this firm. I am able to use this soft-dollar broker more
than I have ever been able to use any other soft-dollar broker and the experience has been quite enjoyable.
I think you and your employees will be very pleased with the services they provide. Feel free to call
or email if you need additional information.
Sincerely,
Noel R. Caldwell
V.P. & Operations/Trading
Commonwealth Advisors, Inc.
(These remarks are not necessarily representative of the experience of other clients.)
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