General Information

What is ArcStone Securities and Investments Corp.?

ArcStone Securities and Investments Corp. (“ArcStone” or the “ArcStone Group”) is a financial services holding company with ownership interests in affiliated entities operating across multiple segments of the financial services industry in the United States and Canada.

The ArcStone Group includes:

• ArcStone Securities LLC, a FINRA member broker-dealer regulated by the U.S. Securities and Exchange Commission (“SEC”) and the Financial Industry Regulatory Authority (“FINRA”).

• ArcStone US Corp., a U.S.-based financial advisory and consulting firm.

• ArcStone Canada (operating advisory entities), providing financial consulting and strategic advisory services in Canada.

• ArcStone Financial Pulse Corp., a digital media and corporate communications platform.

• ArcStone Branding Corp., a corporate communications and advisory consulting firm.

• ArcStone Kingswood, a division of Kingswood US operating within Kingswood US’s regulatory framework.

ArcStone operates as a cross-border advisory platform serving public and private companies. Each entity operates independently within its own governance, capitalization, management structure, and regulatory permissions.

Securities-related activities are conducted exclusively through properly registered broker-dealer entities and appropriately registered representatives where required by applicable law.

Personnel affiliated with multiple entities are subject to separate engagement agreements, supervisory structures, compliance obligations, and information barriers designed to address regulatory requirements and conflicts of interest.

What is the regulatory status of ArcStone Securities LLC?

ArcStone Securities LLC (formerly ArcView Capital LLC) is a FINRA member broker-dealer subject to oversight by FINRA and the SEC.

ArcStone US Corp. acquired a 9.9% ownership interest in September 2023. The firm was subsequently rebranded. FINRA approved the firm’s Change in Membership Application (CMA) in August 2025. Additional ownership transactions remain subject to regulatory approval and customary closing conditions.

ArcStone Securities LLC conducts securities activities in accordance with applicable U.S. federal securities laws and FINRA rules.

Is ArcStone a single regulated entity?

No.

ArcStone Securities and Investments Corp. is a holding company structure comprised of both regulated and non-regulated subsidiaries and affiliates.

• Broker-dealer activities are conducted solely through ArcStone Securities LLC or ArcStone Kingswood (a division of Kingswood US).

• Advisory, consulting, financial modeling, communications, and media services may be conducted through non-regulated affiliates.

Not all services described on this website are available through all entities, and regulatory status varies by entity and jurisdiction.

SERVICES

What services does the ArcStone Group provide?

Services vary by entity and jurisdiction.

ArcStone Canada (Advisory & Consulting)

• Financial modeling and valuation analysis

• Strategic alternatives assessments

• Buy-side and sell-side advisory support

• Due diligence coordination

• Investor presentation advisory

• Capital strategy consulting

• Lender and counterparty introductions

• Non-deal roadshow coordination

ArcStone Canada does not engage in securities brokerage activity.

ArcStone has publicly disclosed that it is exploring the acquisition of a CIRO-regulated dealer; however, any such transaction remains subject to regulatory approval and is not finalized.

ArcStone US Corp.

• Strategic financial advisory

• Capital structure consulting

• Transaction readiness advisory

• Investor materials preparation

• Corporate finance consulting

ArcStone US Corp. does not engage in securities brokerage or effect securities transactions.

ArcStone Securities LLC (FINRA Broker-Dealer)

Services may include:

• Private placements conducted pursuant to applicable exemptions

• Placement agent services

• Mergers and acquisitions advisory

• Strategic transaction advisory

• Capital markets advisory

Securities-related services are conducted exclusively through registered representatives of ArcStone Securities LLC in accordance with applicable securities laws.

ArcStone Kingswood (Division of Kingswood US)

Through Kingswood US’s regulatory platform, services may include:

• PIPE transactions

• IPO advisory and participation

• Registered Direct offerings

• At-the-Market (ATM) programs

• Follow-on equity offerings

• SPAC-related advisory

All such activities are conducted pursuant to Kingswood US supervisory, regulatory, and compliance structures.

ArcStone Financial Pulse Corp.

• Digital media distribution

• Corporate feature reports

• Public information dissemination

• Email and social media communications

ArcStone Financial Pulse Corp. does not provide investment advice, recommendations, or independent research.

Companies featured may be clients of ArcStone affiliates and may compensate ArcStone affiliates for advisory or communications services. Feature materials should not be construed as investment recommendations.

ArcStone Branding Corp.

• Corporate communications consulting

• Press release editing and advisory

• Marketing material advisory

ArcStone Branding Corp. does not engage in securities brokerage or investment advisory activity.

CLIENTS

Who are ArcStone’s typical clients?

ArcStone primarily serves corporate clients, including public and private companies.

The firm does not represent retail investors in investment banking engagements.

Engagement structure, contracting entity, compensation arrangements, and regulatory framework vary based on jurisdiction and scope of services.

INVESTMENT BANKING & CAPITAL MARKETS

What does “investment banking” mean in the ArcStone context?

Investment banking services may include:

• Mergers and acquisitions advisory

• Strategic alternatives reviews

• Capital formation advisory

• Capital structure analysis

• Fairness opinion coordination

• Exchange listing advisory

Where securities execution or placement activities are involved, such services are performed exclusively through:

• ArcStone Securities LLC, or

• ArcStone Kingswood (a division of Kingswood US).

Does ArcStone underwrite securities?

Underwriting, placement, or distribution activities are conducted only through properly registered broker-dealer entities and in compliance with applicable securities laws. ArcStone Kingswood, a division of Kingswood US, underwrites securities. ArcStone Securities LLC, does not have its underwriting licenses, but is registered to do private placements and mergers & acquisition advisory.

Nothing on this website constitutes an offer to sell securities or a solicitation of an offer to buy securities.

Can ArcStone assist with capital formation?

ArcStone Securities LLC, is a registered FINRA broker dealer. ArcStone Kingswood, a division of Kingswood US, can raise capital. ArcStone may provide capital markets advisory and transaction structuring services.

Where securities offerings occur, including private placements or public offerings, such transactions are conducted solely through a registered broker-dealer and pursuant to applicable offering documentation.

No assurance can be given that capital will be raised or that any transaction will be completed.

ROADSHOWS & INVESTOR ENGAGEMENT

What is a roadshow?

A roadshow is a structured series of meetings between company management and prospective investors.

Roadshows may be informational in nature. If conducted in connection with a securities offering, such activities are managed through a registered broker-dealer and subject to applicable securities laws.

RESEARCH & COMMUNICATIONS

Does ArcStone publish research?

Unless explicitly designated as research issued by a registered broker-dealer in compliance with FINRA Rule 2241 or applicable regulations, materials distributed by ArcStone Financial Pulse Corp. are corporate feature reports / "white papers" and is not research or investment advice. entities constitute marketing communications. Equity research with price targets and recommendations is published exclusively through Kingswood US.

Such communications may include forward-looking statements and are subject to risks and uncertainties.

CONFLICTS OF INTEREST

Are there conflicts of interest?

ArcStone and its affiliates may receive compensation from issuer clients for advisory, consulting, placement agent, or communications services.

Certain professionals affiliated with ArcStone entities may make personal investments in companies that are clients, subject to applicable compliance policies. Other times certain professionals can voluntarily invest in securities, subject to compliance policies, and ArcStone Financial Pulse Corp. for no fee be featuring the company with its network. ArcStone Financial Pulse Corp. also shares macro events and non-client / non-invested company news to provide balanced feedback. Risks are commonly highlighted as well and all information shared is based on publicly available information. Corporate clients sign off and review all corporate feature reports and "white papers".

These circumstances may create actual or perceived conflicts of interest. Disclosures are provided where required by regulation or engagement agreement.

SUPERVISION & INFORMATION BARRIERS

How are conflicts managed across entities?

ArcStone maintains supervisory structures and information barriers designed to:

• Segregate regulated and non-regulated activities

• Entity specific NDAs

• New names committees

• Authorized signatures for engagement letters at each entity

• Unique financial records that are kept confidential

• Specific entity specific calls - segregating regulated banking team calls from broader ArcStone team calls

• Address potential conflicts of interest

• Comply with applicable securities laws and regulatory requirements

Supervision of broker-dealer activities is conducted through the applicable registered entity.

REGULATORY & LEGAL DISCLOSURES

Does this website constitute investment advice?

No.

The information contained on this website is for informational purposes only and does not constitute:

• Investment advice

• A research report

• An offer to sell securities

• A solicitation of an offer to buy securities

Any securities offering will be made only pursuant to formal offering documentation.

Are there risks associated with capital markets transactions?

Yes.

Investments in public and private securities involve risk, including the potential loss of principal. Private placements may be speculative and illiquid. Past performance is not indicative of future results.

High-growth and early-stage companies carry significant operational and financing risks.

CROSS-BORDER OPERATIONS

Does ArcStone operate internationally?

ArcStone operates in the United States and Canada and may provide advisory services globally where permitted by law.

Services are provided subject to the securities laws and regulatory requirements of the applicable jurisdiction.

Not all services are available in all jurisdictions.

RELATIONSHIP WITH KINGSWOOD US

Is Kingswood US owned or controlled by ArcStone?

No.

ArcStone maintains a strategic relationship with Kingswood US. ArcStone Kingswood operates within Kingswood US’s regulatory and supervisory framework. Kingswood US maintains independent ownership, management, and compliance oversight.

CAREERS & REGISTRATION

Are certain ArcStone roles subject to registration?

Yes.

Certain investment banking and capital markets roles require registration with FINRA or other regulatory authorities. Individuals performing regulated activities must satisfy licensing and continuing education requirements.