• Boustead Securities

Boustead Securities Opens Boca Raton Office, Welcomes Five New Representatives

Names Sean Mollard Head of Syndicate for Equity Capital Markets

Boustead Securities, LLC (“Boustead”) is pleased to announce the opening of its Boca Raton, FL office and welcomes five investment banking professionals to its Equity Capital Markets team: Sean W. Mollard, Phil Rosensweig, Gus Rodrigo, Frank Sorbara and James Munro. Mr. Mollard has been named Syndicate Manager, a role he has held with his prior firms for over 10 years and for which he is known in the middle market investment banking industry.

“Boustead Securities welcomes Sean Mollard and his team, which enjoys an excellent record for consistently funding IPOs, including dozens of SPACs, along with registered direct offerings, PIPEs and overnight ATMs,” said Keith Moore, CEO of Boustead Securities. “Extending and complementing Boustead’s reach into these offerings with the Boca Raton team is a great addition to Boustead.”

“We have known and worked with Sean Mollard and his highly-experienced bankers for several years as they funded Boustead IPOs, and learned first-hand of their ability to produce results,” said Dan McClory, Head of Equity Capital Markets at Boustead Securities. “This is a tremendous asset of human capital and the industry’s reaction to our coming together has been immediate and highly complimentary.”

“We are excited to join together with Boustead Securities to drive the growth of middle-market IPOs and registered offerings for clients and investors around the world,” said Mr. Mollard. “You will be hearing from us and seeing our impact in the market as 2021 launches and builds.”

Sean Mollard, Head of Syndicate

Mr. Mollard Joined Boustead Securities, LLC and Sutter Securities, Inc. in 2021 as Head of Syndicate, a role he has flourished in over the last six years of his career. He is an 18-year veteran in the securities industry, mostly focusing on the placement of new issue IPOs and Secondary Offerings. Mr. Mollard brings experience, connections and work ethic to the Boustead brand, as he works to expand the firm’s syndicate distribution.

Prior to joining Boustead Securities, LLC and Sutter Securities Inc, he spearheaded the expansion of West Park Capital Inc.’s Syndicate Department. During his Westpark tenure Mr. Mollard successfully placed more than $500,000,000 worth of new issue IPOs and Secondary Offerings as a consistent top producer. The total size of the 1,000 or so offerings Mr. Mollard has been involved in is greater than $1,000,000,000. Prior to Westpark, Mr. Mollard held Sr. Vice President positions at Aegis Capital Corp and Dawson James Securities where he managed accounts for high-net worth individuals.

Mr. Mollard grew up in Newton, MA where he attended The University of Massachusetts, Amherst. He enjoys spending time with his fiancé and two children, watching sports, traveling, and exotic sports cars (one pictured above). He holds FINRA Series 7, 63 and SIE licenses.


Contact Sean at 561-445-7411 orsean.mollard@boustead1828.com.



Philip Rosensweig, Senior Vice President of Investments

Philip Rosensweig joined Boustead Securities, LLC and Sutter Securities, Inc. in 2021 and has been distributing syndicate and investment banking products, including SPACs, for 37 years. While studying at Pace University, Mr. Rosensweig interned on the floor of the New York Stock Exchange with Spear Leeds and Kellogg as a Specialist's Assistant. Upon graduation Philip became a Municipal Bond Account Executive for Liss, Tenner and Goldberg. Mr. Rosensweig relocated to South Florida to work for Prudential Bache Securities and enter their training program. Philip was promoted to Vice President, and then to Miami office Sales Manager. Mr. Rosensweig then joined Smith Barney where he attained the recognition of membership in the Regional Director's Club and a served as Regional Liaison to the Investment Banking Department. After leaving Smith Barney, Mr. Rosensweig joined Dean Witter (now known as Morgan Stanley) and served as Senior Vice President, receiving multiple awards for Executives in Insurance and Annuities, Mutual Funds (InterCapital), and the firm's Equity Club (Top 100 producing stockbrokers).

In July 1999 he established Financial Advisors.com, dba The Financial Advisor's Network, to facilitate the distribution of syndicate and investment banking products though the Independent Broker Dealer and Registered Financial Advisor channels.

Mr. Rosensweig has appeared live and recorded for local television newscasts for both channels 4 and 10 (Miami, Florida), and by The Miami Herald, El Nuevo Herald (local Daily Newspapers) to speak at their "Making Money” conferences​. In 2006, the SunPost (a local Miami Beach newspaper) named his company "Best Financial Advisors." Mr. Rosensweig, a graduate of Pace University holds FINRA series 6, 7, 52 and 79 licenses.

Contact Philip at 305-389-7445 or full.phil@boustead1828.com.



Gus Rodrigo III, Senior Vice President of Investments

Mr. Gus Rodrigo III, a native Floridian, joined Boustead Securities, LLC. and Sutter Securities in 2021. Mr. Rodrigo III is a 20-year veteran and has over two decades of experience in the banking industry. Prior to joining Boustead, Mr. Rodrigo III worked at Westpark Capital, Inc., a full-service investment banking and securities brokerage firm. During his tenure, Mr. Rodrigo III was a top producer and participated in hundreds of IPOs, PIPEs, and secondaries which ultimately led to capital raises in excess of $1,000,000,000. Previously Mr. Rodrigo III worked for Investors Capital Corporation (ICC), a publicly traded and nationally recognized broker dealer. While there, Mr. Rodrigo III helped establish a team of brokers with ultimate accountability for the management of 1,000’s of accounts and portfolio assets in the tens of millions.

In his spare time, Mr. Rodrigo III enjoys traveling the world with his wife, Dr. Fanny Gonzalez, and his two daughters. He also enjoys bicycling and playing racquet ball. Mr. Rodrigo III holds FINRA Series 7, 63, and SIE licenses.

Contact Gus at 786-344-7865 or gus.rodrigo@boustead1828.com.


Frank Sorbara, Senior Vice President of Investments

Frank Sorbara joined Boustead Securities, LLC and Sutter Securities, Inc. in 2021 and is a 25-year veteran of the securities industry, beginning his career on Wall Street in the heart of the financial district before moving to Florida in 2010. Prior to joining Boustead, Frank was a Vice President at Westpark Capital, Inc. and worked on syndicate transactions such as IPOs and Secondary Offerings. Prior to Westpark, Frank spent 13 years at Joseph Stevens. Frank works with high-net-worth individuals, and well as institutions, to navigate the myriad of opportunities available in the marketplace to invest in growth companies. Frank is well versed in SPACs (Special Purpose Acquisition Company), IPOs, secondary financings, and private placements, and has built lifelong client relationships. On a personal note, he is an avid fisherman, huge football fan and father of three. He holds FINRA Series 7, 9/10, 63, and SIE licenses.

Contact Frank at 516-851-4207 or frank.sorbara@boustead1828.com.


James Munro, Account Executive

James joined Boustead Securities, LLC and Sutter Securities, Inc. in 2021. Prior to joining Boustead, James was a Financial Consultant with Westpark Capital, Inc. where he focused on retail investors' participation in syndicate transactions such as IPOs, Secondary Offerings, and the warrant exercise process.

James Munro was born and raised in Washington State. He attended college at Florida International University in Miami, where he graduated in 2018 with a BS in finance. A nature enthusiast in his free time, James enjoys fishing, hiking, kayaking, and volunteering his time to organizations that better the environment.

He holds FINRA Series 7, 24, 66, and SIE licenses, as well as Florida Variable Life & Health 2-15 licenses

Contact James at 561-779-9139 or james.munro@boustead1828.com.


About Boustead Securities, LLC

Boustead Securities, LLC (“Boustead”) is an investment banking firm that executes and advises on IPOs, mergers and acquisitions, capital raises and restructuring assignments in a wide array of industries, geographies and transactions, for a broad client base. Boustead’s core value proposition is the ability to create opportunity through innovative solutions and tenacious execution. With experienced professionals in the United States, Boustead’s team moves quickly and provides a broad spectrum of sophisticated financial advice and services. Boustead is a majority owned subsidiary of Boustead & Company Limited, a diversified non-bank financial institution. For more information, please visit www.boustead1828.com

Boca Raton Office:

Boustead Securities, LLC

433 Plaza Real, Suite 275, Office 25

Boca Raton, FL 33432


Form CRS/Reg BI Disclaimer:

Boustead Securities, LLC, Sutter Securities Inc., and Sutter Securities Clearing,LLC (SSC) are registered with the Securities and Exchange Commission (SEC) as broker-dealers and are members of the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC). Brokerage and investment advisory services and fees differ and it is important for you to understand these differences. Free and simple tools are available to research firms and financial professionals at Investor.gov/CRS, which also provides educational materials about broker-dealers, investment advisers, and investing. When we provide you with a recommendation, we have to act in your best interest and not put our interest ahead of yours. At the same time, the way we make money creates a conflict with your interests. Please strive to understand and ask us about these conflicts because they can affect the recommendations we provide you. There are many risks involved with investing. For Boustead Securities customers and clients, please see our Regulation Best Interest Relationship Guide on the Form CRS Reg BI page on our website at https://www.boustead1828.com/form-crs-reg-bi. For Sutter Securities’ and Sutter Securities Clearing’s customers and clients, please see the Form CRS on the website at https://suttersecurities.com/wp-content/uploads/2020/12/Sutter-Form-CRS-combined-121020.pdf. For FlashFunders’ visitors, you may review the Form CRS of Boustead Securities, Sutter Securities and Sutter Securities Clearing under the Form CRS section. Please also carefully review and verify the accuracy of the information you provide us on account applications, subscription documents and others.


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