CIM Securities, LLC
INVESTMENT BANKING • CAPITAL MARKETS
About Us
CIM Securities is an independent investment bank that serves micro-cap and small-cap companies by providing capital raising solutions and also merger and acquisition services for companies seeking growth capital or services. CIM Securities also caters to individual investors providing comprehensive brokerage and money management solutions. CIM Securities provides institutional investors and individual investors periodic opportunities to participate in public offerings and private placements of public or private companies.
Our Mission
Our Mission is to provide value-added solutions to middle market companies and their investors to help them achieve their goals. We believe that our structure, size, and focus enable us to differentiate ourselves by providing superior service, advice, and execution for our clients.
Our Values
The success of our clients is our highest priority. We succeed when our clients succeed. We value our clients and put their focus above all else. We have an old fashioned approach to doing business. We stay with our clients until the job is done.
Our Expertise
Mergers and Acquisitions, Equity Financing Solutions (IPO’s, Follow-ons, PIPEs, Registered Directs, Private Placements, Convertibles and other Equity-linked Securities), Debt Financing Solutions (Bank Debt, High Yield, Private Debt), and Investor Relations Consulting (Introductions of Institutional Investors, Individuals, and other Broker Dealers
Vince
Chief Compliance Officer
BioVincent “Vince” Bruno began his career in the securities industry in 1985. Mr. Bruno has been a Chief Compliance Officer for various broker-dealers since 1992. During the 1990’s he was CCO for three affiliated broker-dealers with over 300 registered representatives. Since 2002, after the enactment of the U.S. PATRIOT ACT, Mr. Bruno became a FINRA certified AML Compliance Officer and has been serving each broker-dealer, (he has been registered with), in that capacity since 2002.
In January 2006, Mr. Bruno formed his own compliance consulting company and has since worked with numerous broker-dealers in the areas of general and specific compliance practices and procedures, branch examinations and independent AML Audits.
Jack
VP of Investment Banking & Capital Markets
BioJack Myers serves as the Vice President of Investment Banking & Capital Markets here at CIM Securities and been with the firm since April 2009. Mr. Myers got his start in 1991 working for his brother’s M&A Buyside Advisory firm W.E. Myers & Company (WEMCO) while still at UCLA getting his B.A. in Economics (Degree earned in 1995). While there Mr. Myers worked as an Associate and was instrumental in developing Acquisition Opportunities for about a dozen Leveraged Buyout PE Firms in Platform Acquisitions and Target Add-Ons. WEMCO went on to complete 13 major Platform Leverage Build-Ups with a total of 66 total acquisitions in the 1990s. In 1993 Mr. Myers was hired as an Associate in Corporate Finance at Roth Capital Partners where he participated in dozens of IPOs, Follow-On Offerings and Private Placements. In 1995 he moved over to the Boston Group LP as a VP Investment Banking where he led and worked on another half dozen IPOs and several Pre-IPO Private Offerings. In 1997, Mr. Myers was hired at the Head of Investment Banking at Waldron & Company where he sourced originated and completed more IPOs and Private Placements. After taking a few years off in 2003 he joined WestPark Capital where he was sourcing and completed several PIPE Offerings, Reverse Mergers and Reg D Offerings. In 2006 Mr. Myers led the Investment Banking efforts at a small San Diego based Broker Dealer Capital Growth Resources until finally moving over to CIM Securities in 2009 where he has helped source and lead dozens more Pre-IPO, PIPE Offerings, and REG D Offerings.
Rico
CEO and Head of Investment Banking
BioRico began his investment career as a financial services professional in 1991 working in capital markets, capital introductions, and wealth management. During his tenure as a financial services executive he collaborated on a number of business advisory transactions and raised millions of dollars in capital for growth companies. He then added operational experience as CEO of a 300 store retail chain which he co-founded, navigated through two equity rounds as a private company, and managed the IPO process. Rico received a Bachelors of Business Administration from Rider University, a Masters in Business Administration from University of Phoenix, and a Masters in Banking and Finance from Boston University.
Daniel
Investment Banking Representative
BioDaniel P. Cannon is a seasoned investment banker and executive with a diverse career spanning several decades and various industries. He currently serves as Registered Representative at CIM Securities, LLC, a role he assumed in May 2024. Prior to this, Cannon has held several high-level positions, showcasing his extensive experience in the financial sector. He was the Managing Director at Oberon Securities, LLC, Monarch Bay Securities, and Benjamin and Jerold Brokerage, LLC, where he honed his skills in investment banking and financial management. His career also includes a tenure as Vice President at Carbon Friendly Solutions, where he was responsible for investor relations and interfacing with various U.S. government departments including Energy and Commerce.
In addition to his corporate roles, Cannon has also been actively involved in international finance. He served as an Eastern European Advisor for the Export-Import Bank of the United States and held advisory positions with institutions like the National Bank of Poland and the Bank of China. His expertise spans a range of areas including blockchain technology, as evidenced by his role as Managing Member of First Block, LLC. Cannon's career also features significant contributions to the energy sector, highlighted by his work with Ridgeway & Conger and Dunman Resources, Inc. With a blend of leadership in both corporate and governmental sectors, Daniel P. Cannon's career showcases his expertise in complex financial and investment operations on a global scale.
Bryan
Registered Principal
BioMr. Emerson is a FINRA-licensed Registered Principal of CIM Securities. Formerly, he was a Registered Representative with Great Point Capital for three years, and before that, the Chief Compliance Officer, Chief Financial Officer and Supervisory Principal of Sequence Financial Specialists LLC, based in Charleston, South Carolina for approximately five years through the end of 2018. He had been the founder and Managing Principal of Starlight Investments, LLC, an investment bank based in Houston, which was focused on private placements of equity from 2000 to 2013. Starlight had approximately fifteen investment professionals. He is a FINRA-registered broker with extensive financial, marketing and project management experience in a variety of international high- and low-technology industries. He is also an entrepreneur, having started and operated companies for over thirty years, of which ten years were spent in the telecommunications field throughout Latin America. He is fluent in Spanish. Mr. Emerson received his B.A. with Honors in Spanish and Economics from Hamilton College in New York and his M.B.A. from the Jones School of Administration at Rice University. He completed Air Command and Staff College, Maxwell AFB. He holds the following securities licenses: 7, 24, 27, 63, 79, 87 and 99. He is an instrument-rated private pilot and an Extra class amateur radio licensee.
Mr. Emerson’s professional and community involvement included active roles as member of the Council of Overseers of the Jones Graduate School of Management at Rice University, Rice Alliance Roundtable Advisory Board, President of the Jones School Alumni Association, FINRA Technology Advisory Committee, FINRA arbitrator, FINRA District 6 Nominating Committee, Finance Committee member of The Coronado Club, President of the board of Houston Achievement Place, graduate of the Center for Houston’s Future program and member of the Houston Philosophical Society.
CIM Securities’ Investment Banking group is focused on developing long-term relationships with senior management teams and significant stakeholders of micro-cap and small-cap market companies. Consistent with CIM Securities’ mission, the Investment Banking group seeks to deliver value-added solutions with a focus on the needs of its clients through experience, execution and accountability in the areas of capital raising and strategic advisory. The CIM Securities’ team is comprised of senior level professionals with extensive experience in terms of years, transactions and capital raised. CIM Securities’ has an extensive syndicate team.
Our Focus
Healthcare
Consumer
Energy
Media
Technology
CIM Securities provides growth capital to early and expansion-stage companies through Choice Investment Management the parent company of CIM Securities. Choice Investment Management invests in private and public securities through internally managed funds. Choice leverages its broad experience, team-oriented approach and partner network to give entrepreneurs advice, support and a competitive edge beyond just capital. Choice seeks to capitalize on significant trends that create attractive investment opportunities. Choice makes investments of $1 to $5 million in early and expansion stage companies. Choice takes an active role in the growth of portfolio companies.
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