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Asset Monetizing Process & Procedures, Paper Assets/CMO’s/ Bond’s/CD’s/Treasuries/Stocks/Notes

Asset Monetizing Process & Procedures,

Paper Assets/CMO’s/ Bond’s/CD’s/Treasuries/Stocks/Notes

(No Bearer bonds)

Send over a copy of the Paper Assets CMO’s/Bond’s/CD’s/Treasuries/Stocks/Notes.

If available or send the CUSIP or ISIN Numbers.  CIS Form and Statement as to where the asset is held if possible and how much of the asset the client owns.

We will review and want the borrower on the phone ASAP, with the Underwriter and or Banker.

Our disclosures will be forwarded to the borrower – we need to know the fees that need to be included on the broker side.

Disclosures come back we will send account docs and a transfer form for the borrower to open an account and transfer the securities/assets to our investment bank.

A conference call with the client will be scheduled.

To further after the call we will request financials on the Borrower / Company.

When the securities are transferred we will then work to monetize them with in 3 days for the account being opened, This usually closes in a week.

Needed to get started;

1. Copy of the client’s driver’s license and passport

2. Entire copy of the statement of portfolio to be transferred in. (which would include account titling).

3. The client info sheet filled out

4. Articles of incorporation or Trust docs


Loan against market value,

Up to 95% at 1.5% over LIBOR




The proceeds from the Monetizing Process can then be placed into our platforms for further monetizing and take-out of Loan.

(Please put the last name of principal or funding entity in the subject heading and type of asset and be consistent in all Emails.  This is how the deal will be filed)

For further details of the process please feel free to contact my office.

With Warmest Regards

Joe Tufo

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