PTI Securities & Futures
Encyclopedia
PTI Securities & Futures is a money management, securities and discount brokerage firm with offices in Chicago
, Illinois and Glendale, Arizona. Established in 1991, PTI Securities provides investors, fund managers and pension funds in the United States
with investment consulting services.
(SMA) in which investors can tailor their investments to match their personal risk profile. And, PTI’s "ProDirect" brokerage service allows self-directed traders to trade online and obtain minimal broker assistance.
The privately owned company reported that, as of Dec. 31, 2008, its Protected Index Program beat the S&P 500
by 56.04% over the past 10 years, and beat the Russell 2000 Index (IWM) by 45.08% since its inception.
The Wall Street Journal
and Pensions & Investments, an investment trade magazine, recognized PTI as one of the nation’s “top performing equity managers” in 2008, for the performance of its Protected Index Program, a separately managed account. In their stories, the two publications also reported that separately managed account
s (SMAs) outperformed mutual funds from 2006 through 2008, and unveiled new research from Morningstar
research firm which found that SMAs beat mutual funds in 22 of 26 stock and bond categories during that time.
Investment News recognized the Protected Index Program as one of the most successful equity fund strategies for the year ended March 31, 2009.
With the Dow Jones Industrial Average
losing 33.8% in 2008, its worst performance since 1931 during the Great Depression
, many investors are looking for protection from market risk and future losses.
Businesses and organizations turn to the firm’s management to get their information and analysis.
To communicate with investors, the company’s management makes presentations on investment tools. PTI Securities is best known in the Chicago metropolitan area in part because Principal Tom Haugh co-hosted “Stocks and Jocks,” a daily investment analysis program on Chicago sports radio station WSCR from 2001 to 2008. As of February 1, 2010 this show airs daily on 1240AM WSBC Chicago.
Tom Haugh also publishes a “Dollars & Sen$e” informational blog giving his analysis of the latest key market, economics and finance developments.
In June 2009, President Dan Haugh wrote an article published in Stocks, Futures and Options (SFO) magazine, where he emphasized the importance of investors “insuring” their investments by using options to lessen the chance of stock investment losses such as the stock market’s major drop in 2008. In the story, Haugh said “… the age of using the option product as an investment risk-management tool is upon us.”
(CBOE).
The CBOE lists the company as among Trading Firm Contacts that investors can consider. PTI Securities & Futures is a member of the Securities Investor Protection Corporation
(SIPC), Financial Industry Regulatory Authority
(FINRA), and the National Futures Association
(NFA).
Chicago
Chicago is the largest city in the US state of Illinois. With nearly 2.7 million residents, it is the most populous city in the Midwestern United States and the third most populous in the US, after New York City and Los Angeles...
, Illinois and Glendale, Arizona. Established in 1991, PTI Securities provides investors, fund managers and pension funds in the United States
United States
The United States of America is a federal constitutional republic comprising fifty states and a federal district...
with investment consulting services.
Management
- Tom Haugh, Chief Investment Officer
- Dan Haugh, President
- Dave Westhouse, Vice President, Retail Securities Execution
- Robin Spitalny, Vice President, Portfolio Management
- Larry Parkhill, Vice President, PTI ProDirect
- Jim Doran, Vice President, Managed Account Execution
Products
PTI Securities provides three main products. The first is an online stock trading service that gives investors the ability to place stock trades online or by phone and receive PTI brokers’ assistance. The "Protected Index Program" is a managed money program or separately managed accountSeparately managed account
A separately managed account is an individual managed investment account offered typically by a brokerage firm through one of their brokers or financial consultants and managed by independent investment management firms and have varying fee structures...
(SMA) in which investors can tailor their investments to match their personal risk profile. And, PTI’s "ProDirect" brokerage service allows self-directed traders to trade online and obtain minimal broker assistance.
The privately owned company reported that, as of Dec. 31, 2008, its Protected Index Program beat the S&P 500
S&P 500
The S&P 500 is a free-float capitalization-weighted index published since 1957 of the prices of 500 large-cap common stocks actively traded in the United States. The stocks included in the S&P 500 are those of large publicly held companies that trade on either of the two largest American stock...
by 56.04% over the past 10 years, and beat the Russell 2000 Index (IWM) by 45.08% since its inception.
The Wall Street Journal
The Wall Street Journal
The Wall Street Journal is an American English-language international daily newspaper. It is published in New York City by Dow Jones & Company, a division of News Corporation, along with the Asian and European editions of the Journal....
and Pensions & Investments, an investment trade magazine, recognized PTI as one of the nation’s “top performing equity managers” in 2008, for the performance of its Protected Index Program, a separately managed account. In their stories, the two publications also reported that separately managed account
Separately managed account
A separately managed account is an individual managed investment account offered typically by a brokerage firm through one of their brokers or financial consultants and managed by independent investment management firms and have varying fee structures...
s (SMAs) outperformed mutual funds from 2006 through 2008, and unveiled new research from Morningstar
Morningstar, Inc.
Morningstar, Inc. is an independent investment research company based in Chicago, Illinois, USA.-Businesses:Morningstar, Inc. is a leading provider of independent investment research in North America, Europe, Australia, and Asia. The company offers an extensive line of products and services for...
research firm which found that SMAs beat mutual funds in 22 of 26 stock and bond categories during that time.
Investment News recognized the Protected Index Program as one of the most successful equity fund strategies for the year ended March 31, 2009.
With the Dow Jones Industrial Average
Dow Jones Industrial Average
The Dow Jones Industrial Average , also called the Industrial Average, the Dow Jones, the Dow 30, or simply the Dow, is a stock market index, and one of several indices created by Wall Street Journal editor and Dow Jones & Company co-founder Charles Dow...
losing 33.8% in 2008, its worst performance since 1931 during the Great Depression
Great Depression
The Great Depression was a severe worldwide economic depression in the decade preceding World War II. The timing of the Great Depression varied across nations, but in most countries it started in about 1929 and lasted until the late 1930s or early 1940s...
, many investors are looking for protection from market risk and future losses.
Investor Education
CNBC-TV and other major U.S. media seek PTI Securities management officials for their investment and market analysis expertise.Businesses and organizations turn to the firm’s management to get their information and analysis.
To communicate with investors, the company’s management makes presentations on investment tools. PTI Securities is best known in the Chicago metropolitan area in part because Principal Tom Haugh co-hosted “Stocks and Jocks,” a daily investment analysis program on Chicago sports radio station WSCR from 2001 to 2008. As of February 1, 2010 this show airs daily on 1240AM WSBC Chicago.
Tom Haugh also publishes a “Dollars & Sen$e” informational blog giving his analysis of the latest key market, economics and finance developments.
In June 2009, President Dan Haugh wrote an article published in Stocks, Futures and Options (SFO) magazine, where he emphasized the importance of investors “insuring” their investments by using options to lessen the chance of stock investment losses such as the stock market’s major drop in 2008. In the story, Haugh said “… the age of using the option product as an investment risk-management tool is upon us.”
History
Before establishing the firm, Tom and Dan Haugh and their other senior management were traders at the Chicago Board Options ExchangeChicago Board Options Exchange
The Chicago Board Options Exchange , located at 400 South LaSalle Street in Chicago, is the largest U.S. options exchange with annual trading volume that hovered around one billion contracts at the end of 2007...
(CBOE).
The CBOE lists the company as among Trading Firm Contacts that investors can consider. PTI Securities & Futures is a member of the Securities Investor Protection Corporation
Securities Investor Protection Corporation
The Securities Investor Protection Corporation is a federally mandated, non-profit, member-funded, corporation in the United States. It protects investors in certain securities from financial harm if a broker-dealer fails...
(SIPC), Financial Industry Regulatory Authority
Financial Industry Regulatory Authority
In the United States, the Financial Industry Regulatory Authority, Inc., or FINRA, is a private corporation that acts as a self-regulatory organization . FINRA is the successor to the National Association of Securities Dealers, Inc. ...
(FINRA), and the National Futures Association
National Futures Association
The National Futures Association is an independent self-regulatory organization and watchdog of the commodities and futures industry in the United States. The NFA oversees and protects investors from fraudulent commodities and futures activities. The NFA also provides mediation and arbitration...
(NFA).