Jon R. Hickman

Ladenburg Thalmann & Co., Inc. (Broker) is the broker/dealer division of Ladenburg Thalmann & Co., Inc., ultimately held by Advisor Group Holdings, Inc. Headquartered in New York City, the firm was founded in 1876 and offers a full suite of capital markets products and services, including proprietary equity research and a fixed-income trading desk. For institutional asset management clients, the firm provides liquidity, execution, high-quality idea-generating research, and access to corporate management teams. Their institutional coverage includes relationships with over asset management companies all over the world. To corporate clients, they bring access to investor capital, broad distribution capabilities and financial markets advisory. Ladenburg Thalmann is a leader in financing growing middle-market public companies across various industry verticals, including Healthcare & Life Sciences, Yield-Oriented Securities (BDCs, REITs, MLPs), Energy, Power & Infrastructure, and Telecom, Media & Technology.

Founded by Baruch Halpern in 2002, Halpern Capital, Inc. is an investment bank and SEC-registered broker/dealer headquartered in Aventura, Florida with an additional office in New York City. The firm focuses primarily on advisory and capital raising services and also assists and advises clients with capital raises for expansion, M&As, financial restructurings and MBOs. In addition to traditional financing methods such as PIPES, RDs and ATMs, they offer innovative, efficient alternative financing methods called Structured Term Equity Placements (STEP) which provide capital through tranches. Halpern Capital also has significant expertise using convertible structures to provide non-shelf issuers with significant flexibility. The firm is also strongly positioned to assist Asian companies access the U.S. capital markets. Through a joint venture with Diamond Wealth Investment, they offer assistance with reverse mergers, traditional financings and innovative structured products to companies in China.

Allspring Global Investments LLC (Allspring) is a SEC-registered investment advisor headquartered in Charlotte, North Carolina. Prior to November 1, 2021, the firm was known as Wells Capital Management, Inc. They are a direct wholly-owned subsidiary of Allspring Global Investments Holdings LLC, ultimately held by Allspring Group Holdings LLC. Allspring provides investment management services to mutual funds, private funds, collective investment trusts (CITs), pooled vehicles, and other institutional clients and high net-worth individuals.

Western Asset Management Co. (Western Asset) is a SEC-registered investment advisor headquartered in Pasadena, California. The firm was founded in 1971 and is a subsidiary of Legg Mason, Inc., which is owned by Franklin Resources, Inc. Western Asset provides discretionary investment management services to primarily institutional clients.

Public Ventures LLC is a registered broker-dealer headquartered in Dallas, Texas. The firm was founded by Christopher Marlett and Anthony DiGiandomenico in 1997. They are a wholly-owned subsidiary of MDB Capital Holdings LLC. Public Ventures offers Go-to-Market Strategy, Market Assessments, Revenue Generation and Product Strategy for technology companies that targets the Public Sector.