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Investment Bankers

AM RAZO & CO. SECURITIES INC.

18101 Von Karman Ave., Ste. 350

Irvine 92612

Phone/fax: (949) 251-6567/(949) 251-6568

Web site: amrazo.com

E-mail: info@amrazo.com

Top local official/title: Andrew M. Razo, chairman/CEO

Range: $2-$5 million

Specialties: Printing, software, aerospace, technology, hi-tech, computer hardware

BARRINGTON ASSOCIATES

4675 MacArthur Court., # 670

Newport Beach 92660

Phone/fax: (949) 442-7800/(949) 442-7860

Web site: barringtonassociates.com

E-mail: jfreedman@baib.com

Top local official/title: James B. Freedman, managing director

Specialties: Mergers and acquisitions

BUCHANAN STREET PARTNERS

610 Newport Center Drive

Phone/fax: (949) 721-1414/(949) 721-1919

Web site: buchananstreet.com

E-mail: rsb@buchananstreet.com

Top local official/title: Robert Brunswick, president

Range: $5 million-$100 million

Specialties: Mezzanine debt, preferred equity

CHASE H & Q

1100, Newport Center Drive, Ste. 200

Newport Beach 92660

Phone/fax: (949) 718-6100/(949) 718-6199

Web site: chase.com

Top local official/title: Stephen S. Shirley, senior vice president

Specialties: Retail

EUREKA CAPITAL MARKETS GROUP

4400 MacArthur Blvd., Ste. 980

Phone/fax: (949) 852-5190/(949) 476-2790

Top local official/title: Art Perrone, chairman

Specialties: Raise capital for early-stage technologies & healthcare companies; provide merger & acquisition services for middle-market private companies

FIRST FIDELITY

3061 Edinger Ave.

Tustin 92710

Phone/fax: (949) 863-0222/(949) 936-1889

Web site: 1stfidelity.com

Top local official/title: Susan Froboese, chief credit officer

Range: $200,000 – $4 million

Specialties: Commerical, industrial

FIRST SECURITY THRIFT COMPANY

803 E. Katella Ave.

Orange 92867

Phone/fax: (714) 538-3481/(714) 538-0126

E-mail: jbresnan@firstam.com

Top local official/title: Jim Bresnan, CEO/president

Range: $100,000 – $2.5 million

FIRST SECURITY VAN KASPER

610 Newport Center Drive, Ste. 500

Newport Beach 92660

Phone/fax: (949) 718-4500/(949) 719-1808

Web site: fsvk.com

E-mail: rsample@fsvk.com

Top local official/title: Richard J. Sample, senior vice president

Range: $5 million-$50 million

Specialties: Technology, biotechnology, specialty finance, financial services, enterprise software

FRIEDMAN BILLINGS

RAMSEY & CO. INC.

18101 Von Karman Ave., Ste. 1860

Phone/fax: (949) 477-3100/(949) 477-3101

Web site: fbr.com

E-mail: jneuhauser@fbr.com

Top local official/title: James C. Neuhauser, managing director

Range: $10 million-$500 million

Specialties: Financial services, real estate, technology

GARTE & ASSOCIATES INC.

567 St. Nicholas Drive, # 360

Phone/fax: (949) 622-5503/(949) 219-2198

E-mail: garte@worldnet.att.net

Top local official/title: Harvey Garte, president

GLOBAL VANTAGE LTD.

2424 S. E. Bristol, Ste. 280

Newport Beach 92660

Phone/fax: (949) 250-0007/(949) 250-0018

Top local official/title: R. M. Torre, chairman

Range: All

Specialties: Mergers and acquisitions, merchant banking, international finance, equipment leasing/captive finance, corporate debt, equity financing

GRANT BETTINGEN, INC.

19800 MacArthur Blvd., Ste. 975

Irvine 92612

Phone/fax: (949) 851-5830/(949) 756-0981

Top local official/title: Grant Bettingen, president

Specialties: Control stock, securities, emerging technologies

HANKIN INVESTMENT BANK

13 Corporate Plaza, Ste. 210

Phone/fax: (714) 478-0644/(714) 669-9050

Web site: Hankinco.com

E-mail: Raskew@Hankinco.com

Top local official/title: Ron Askew, managing director

Specialties: Technology, middle market

HUNTER WISE FINANCIAL GROUP

3991 MacArthur Blvd. #340

Newport Beach 92660

Phone/fax: (949) 263-0033/(949) 263-0022

Web site: hunterwise.com

E-mail: fjager@hunterwise.com

Top local official/title: Fred G. Jager, president

Specialties: Institutional finance, mergers, acquisitions, divestitures

HUNTINGTON RESOURCES INC.

8071 Slater Ave., Ste. 205

Huntington Beach 92647

Phone/fax: (714) 375-5290/(714) 375-5290

E-mail: manu@gsrservices.com

Top local official/title: Dr. Manu Hinduja, president

Range: $100,000-$400 million

Specialties: Energy, software, power, asset-based lending

L. H. FRIEND, WEINRESS, FRANKSON & PRESSON LLC

3333 Michelson Drive, Ste. 650

Phone/fax: (949) 852-9911/(949) 852-8109

Top local official/title: Gregory E. Presson, chairman/CEO

Specialties: High-tech, healthcare, IT services, specialty retailing, basic industrial manufacturing

MARKWOOD CAPITAL ALLIANCE

6 Hutton Center Drive, Ste. 1110

Santa Ana 92707

Phone/fax: (714) 540-8020/(714) 957-2799

Web site: markwoodcapital.com

E-mail: bill@markwoodcapital.com

Top local official/title: Brian Callahan, managing director

Specialties: Computers, Internet, hi-tech electronics

NORTH AMERICAN CAPITAL

PARTNERS

1500 Quail St., Ste. 550

Phone/fax: (949) 263-5940/(949) 955-2134

Top local official/title: Michael D. Henton, president

Specialties: All

PACIFIC SUMMIT SECURITIES

2082 Michelson Drive, Ste. 100

Irvine 92612

Phone/fax: (949) 261-0800/(949) 261-6898

Web site: pacificsummit.com

E-mail: jwatts@pacificsummit.com

Top local official/title: James A. Watts, president

Range: $500,000-$10 million

Specialties: Technology, Internet

ROTH CAPITAL PARTNERS INC.

24 Corporate Plaza

Newport Beach 92660

Phone/fax: (949) 720-5700/(949) 720-7223

Web site: rothcp.com

Top local official/title: Byron Roth, chairman/CEO

Specialties: Corporate finance

SPECTRUM VENTURES LLC

5319 University Drive, Ste. 357

Phone/fax: (949) 863-1990/(949) 725-1160

Web site: spectrumventures.com

E-mail: jfm@spectrumventures.com

Top local official/title: Joseph F. Martinez, managing director

Specialties: Technology, medical, aerospace, Internet, wireless telecom

STEWART SECURITIES

1100 Quail St., Ste. 209

Phone/fax: (949) 250-0080/(949) 250-0070

Web site: stewartsecurities.com

E-mail: info@stewartsecurities.com

Top local official/title: Mark Stewart, president

Range: $300,000-$10 million

Specialties: Financing restricted stock

TAURUS CAPITAL GROUP LLC

19800 MacArthur Blvd., Ste. 280

Irvine 92612

Phone/fax: (949) 655-1444/(949) 655-1445

Web site: tauruscap.com

E-mail: mgreer@tauruscap.com

Top local official/title: Michael J. Greer, managing director

Range: $2.5 million-$7 million

Specialties: Medical device manufacturers

THE CORPORATE DEVELOPMENT GROUP

23120 Alicia Pkwy., Ste. 200

Mission Viejo 92692

Phone/fax: (949) 460-0925/(949) 460-0924

E-mail: cdg1@prodigy.net

Top local official/title: Ketan I. Mehta, managing partner

Range: $2 million-$50 million

Specialties: Consumer, industrial products, manufacturing, distribution

THE R.C. FULLER CO.

P. O. Box 2876

Newport Beach 92659

Phone/fax: (949) 673-2988/(949) 673-2720

Web site: rcfuller.com

E-mail: rc@rcfuller.com

Top local official/title: R. C. Fuller, president

Specialties: Mergers and acquisitions, mid-size manufacturing

TRENWITH SECURITIES

450 Newport Center Drive, Ste. 550

Newport Beach 92660

Phone/fax: (949) 729-3200/(949) 729-1513

Web site: trenwith.com

E-mail: ainsworth@trenwith.com

Top local official/title: Ron Ainsworth, managing partner

Range: $10 million-$30 million (equity rounds); $20 million-$100 million (debt)

Specialties: Middle-market companies

WESTPARK CAPITAL INC.

2600 Michelson Drive, 17th Floor

Phone/fax: (949) 852-3610/(949) 852-3620

Top local official/title: Barry Ross, managing director

Range: $2 million – $20 million

Specialties: Public offerings, private placements, mergers & acquisitions, advisory, securities research, brokerage services

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