Sales & Trading

Communicating, Executing and Delivering Ideas and Returns.

Investment Banking

Innovative, Global Exposure and Fundamental Driven.

Wealth Management

Disciplined, Personalized, and Experienced.

Financial Advisory

Sustainable, Responsible, and Impactful.

About Us

30 Years in the making. We are a boutique full-service investment bank that offers a full suite of unparalleled solutions in Sales & Trading, Creative Investment Banking, Wealth Management, and Financial Advisory to our clients.

UNIVEST AT A GLANCE

Products & Services

Capital Markets Advisory

Enduring Partnerships with Strategic Investors.

Products & Services

ESG (Environmental, Social, and Governance) Initiative

Sustainable, Socially Responsible, and Impactful

Products & Services

Sales & Trading

Communicating, Executing and Delivering Ideas and Returns

Products & Services

Investment Banking

Innovative, Fundamental Driven and Global Exposure

Products & Services

Wealth Management

Disciplined, Personalized and Experienced

Our History

Founded in 1994, we, Univest Securities, pride ourselves in providing high level of value-added service to both our corporate and individual clients across the globe.

Our Team

Edric Guo

Chief Executive Officer, Head of Investment Banking Division

Our Team

John Bermingham

Chief Compliance Officer

Our Team

Bradley Richmond

Chief Operating Officer

Our Team

Scott E. Madison

Managing Director of Capital Markets

Most Recent Transaction

Univest Announces Closing of $2 Million Registered Direct Offering for its Client Algorhythm Holdings, Inc. (NASDAQ: RIME); Univest Acts as the Sole Placement Agent.

Univest today announced the closing of registered direct offering of approximately $2 million for its client Algorhythm Holdings, Inc. (NASDAQ: RIME), an AI-driven technology and consumer electronics holding company.

Under the terms of the securities purchase agreement, the Company has agreed to sell to several investors for the purchase and sale of an aggregate of 24,067,388 shares of Company’s common stock, par value $0.01 per share at a purchase price of $0.0831 per share in a registered direct offering priced at-the-market under Nasdaq rules.

The aggregate gross proceeds to the Company was approximately $2 million. Univest Securities, LLC acted as the sole placement agent.

RECENT TRANSACTIONS

December 18th, 2024
Registered Direct Offering

$2,000,000

Sole Placement Agent
Algorhythm Holdings, Inc.
NASDAQ: RIME
December 13th, 2024
Registered Direct Offering

$2,700,000

Sole Placement Agent
Lichen China Limited
NASDAQ: LICN
December 10th, 2024
Registered Direct Offering

$15,000,000

Sole Placement Agent
Universe Pharmaceuticals, Inc.
NASDAQ: UPC
December 6th, 2024
Public Offering

$9,500,000

Sole Placement Agent
Algorhythm Holdings, Inc.
NASDAQ: RIME
November 25th, 2024
Private Placement

$5,100,000

Sole Placement Agent
Qualigen Therapeutics, Inc.
NASDAQ:QLGN
November 11th, 2024
Private Placement

$2,500,000

Sole Placement Agent
Houston American Energy.
NYSE: HUSA
October 24th, 2024
Private Placement

$2,352,941

Sole Placement Agent
Algorhythm Holdings, Inc.
NASDAQ: RIME
October 3rd, 2024
Registered Direct Offering

$1,500,000

Sole Placement Agent
Akanda Corp.
NASDAQ: AKAN
September 24th, 2024
Registered Follow-On Offering

$8,000,000

Sole Placement Agent
Elevai Labs Inc.
NASDAQ: ELAB
September 17th, 2024
Registered Direct Offering

$1,200,000

Sole Placement Agent
Focus Universal Inc.
NASDAQ: FCUV
September 12th, 2024
Convertible Note

$30,000,000

Sole Placement Agent
Faraday Future Intelligent Electric Inc.
NASDAQ: FFIE
September 6th, 2024
Registered Direct Offering

$3,470,585.55

Sole Placement Agent
Qualigen Therapeutics, Inc.
NASDAQ: QLGN
August 2nd, 2024
Private Placement

$1,150,000

Sole Placement Agent
Elevai Labs Inc.
NASDAQ: ELAB
July 12th, 2024
Promissory Note

$2,000,000

Sole Placement Agent
Qualigen Therapeutics, Inc.
NASDAQ: QLGN
May 17th, 2024
Registered Direct Offering

$2,500,000

Sole Book Runner
Akanda Corp.
NASDAQ: AKAN
May 17th, 2024
Registered Direct Offering

$1,500,000

Sole Book Runner
Akanda Corp.
NASDAQ: AKAN
March 27th, 2024
Follow-On Offering

$5,000,000

Sole Book Runner
Akanda Corp.
NASDAQ: AKAN
March 26th, 2024
Registered Direct Offering

$926,957

Sole Placement Agent
GD Culture Group Limited
NASDAQ: GDC
February 12th, 2024
Registered Direct Offering

$5,000,000

Sole Placement Agent
TOP Financial Group Limited
NASDAQ: TOP
February 9th, 2024
Registered Direct Offering

$5,000,000

Sole Book Runner
Lottery.com Inc.
NASDAQ: LTRY
February 1st, 2024
Registered Direct Offering

$708,000

Sole Book Runner
Akanda Corp.
NASDAQ: AKAN
December 6th, 2023
Registered Direct Offering

$12,000,000

Sole Placement Agent
U Power Limited.
NASDAQ: UCAR
November 29th, 2023
Private Placement

$5,000,000

Sole Placement Agent
ZK International Group Co., Ltd.
NASDAQ: ZKIN
November 24th, 2023
Initial Public Offering

$6,000,000

Lead Book Runner
ELEVAI Labs Inc.
NASDAQ: ELAB
November 3rd, 2023
Registered Direct Offering

$9,998,126.66

Sole Placement Agent
GD Culture Group Limited
NASDAQ: GDC
October 2nd, 2023
Initial Public Offering

$10,000,000

Sole Book Runner
VS Media Holdings Limited
NASDAQ: VSME
September 21st, 2023
Initial Public Offering

$5,002,500

Sole Book Runner
Davis Commodities Limited
NASDAQ: DTCK
May 4th, 2023
Registered Direct Offering

$9,547,027.78

Sole Placement Agent
GD Culture Group Limited
NASDAQ: GDC
April 20th, 2023
Initial Public Offering

$11,000,000

Lead Book Runner
Top KingWin Ltd.
NASDAQ: TCJH
April 6th, 2023
Registered Direct Offering

$3,000,000

Sole Book Runner
AnPac Bio-Medical Science Co., Ltd.
NASDAQ: ANPC
April 4th, 2023
Initial Public Offering

$9,600,000

Sole Book Runner
Shengfeng Development Limited
NASDAQ: SFWL
February 8th, 2023
Initial Public Offering

$16,000,000

Lead Book Runner
Lichen China Limited
NASDAQ: LICN
January 27th, 2023
Initial Public Offering

$40,625,000

Co-Manager
QuantaSing Group Limited
NASDAQ: QSG
January 4th, 2023
Convertible Note

$16,666,666.66

Sole Placement Agent
Addentax Group Corp
NASDAQ: ATXG
November 7th, 2022
Registered Direct Offering

$25,000,000

Sole Placement Agent
Huadi International Group Co., Ltd.
NASDAQ: HUDI
October 26th, 2022
Follow-On Offering

$2,000,000

Sole Book Runner
Soluna Holdings, Inc.
NASDAQ: SLNH
August 30th, 2022
Initial Public Offering

$25,000,000

Sole Book Runner
Jianzhi Education Technology Group Company Limited
NASDAQ: JZ
July 21st, 2022
Public Offering

$40,000,000

Sole Book Runner
WeTrade Group Inc.
NASDAQ: WETG
July 20th, 2022
Private Investment in Public Equity (PIPE)

$61,215,000

Sole Placement Agent
Cenntro Electric Group Limited
NASDAQ: CENN
June 17th, 2022
Private Investment in Public Equity (PIPE)

$12,593,905

Sole Placement Agent
Marizyme, Inc.
OTC: MRZM
June 7th, 2022
Underwritten Public Offering

$5,750,000

Sole Book Runner
Bit Origin Limited
NASDAQ: BTOG
June 3rd, 2022
Initial Public Offering

$25,000,000

Lead Book Runner
Zhong Yang Financial Group Limited
NASDAQ: TOP
April 27th, 2022
Preferred Stock Offering

$30,486,565

Sole Book Runner
Soluna Holdings, Inc.
NASDAQ: SLNHP
January 13th, 2022
Initial Public Offering

$25,000,000

Sole Book Runner
Yoshitsu Co., Ltd
NASDAQ: TKLF
February 2nd, 2022
Registered Direct Offering

$16,130,716

Sole Placement Agent
China Xiangtai Food Co., Ltd.
NASDAQ: PLIN
December 28th, 2021
Preferred Stock Offering

$8,970,000

Sole Book Runner
Soluna Holdings, Inc.
NASDAQ: SLNHP
November 24th, 2021
Registered Direct Offering

$16,500,000

Sole Placement Agent
China Xiangtai Food Co., Ltd.
NASDAQ: PLIN
October 21st, 2021
Convertible Note

$16,300,000

Sole Placement Agent
Mechanical Technology, Inc.
NASDAQ: MKTY
September 23rd, 2021
Private Placement

$2,285,143

Sole Placement Agent
Todos Medical Ltd.
OTC: TOMDF
August 23rd, 2021
Preferred Stock Offering

$20,160,000

Sole Book Runner
Mechanical Technology, Inc.
NASDAQ: MKTYP
June 7th, 2021
Follow-On Offering

$24,562,500

Sole Placement Agent
TIAN RUIXIANG Holdings Ltd
NASDAQ: TIRX
April 27th, 2021
Follow-On Offering

$17,250,000

Sole Book Runner
Mechanical Technology, Inc.
NASDAQ: MKTY
April 7th, 2021
Follow-On Offering

$85,400,000

Sole Placement Agent
Ebang International Holdings Inc.
NASDAQ: EBON
March 25th, 2021
Initial Public Offering

$28,750,000

Sole Book Runner
Universe Pharmaceuticals, Inc.
NASDAQ: UPC
February 25th, 2021
Follow-On Offering

$14,375,000

Sole Book Runner
Glory Star New Media Group Holdings Limited
NASDAQ: GSMG
February 22th, 2021
Warrants Inducement

$72,400,000

Sole Solicitation Agent
Ebang International Holdings Inc.
NASDAQ: EBON
February 22th, 2021
Follow-On Offering

$96,000,000

Sole Placement Agent
Ebang International Holdings Inc.
NASDAQ: EBON
February 22th, 2021
Registered Direct Offering

$25,000,000

Sole Placement Agent
Code Chain New Continent Limited
NASDAQ: CCNC
February 10th, 2021
Initial Public Offering

$34,500,000

Sole Book Runner
Baosheng Media Group Holdings Limited
NASDAQ: BAOS
January 27th, 2021
ATM

$6,800,000

Sole Placement Agent
Houston American Energy Corporation
NYSE: HUSA
January 19th, 2021
Follow-On Offering

$40,000,000

Sole Placement Agent
TD Holdings, Inc.
NASDAQ: GLG
January 11th, 2021
Initial Public Offering

$28,750,000

Sole Book Runner
Qilian International Holding Group, Ltd.
NASDAQ: QLI
November 29th, 2020
Registered Direct Offering

$10,000,000

Sole Placement Agent
Tantech Holdings, Ltd.
NASDAQ: TANH
November 29th, 2020
Follow-On Offering

$42,000,000

Sole Placement Agent
Ebang International Holdings Inc.
NASDAQ: EBON
September 29th, 2020
Private Investment in Public Equity (PIPE)

$7,000,000

Sole Placement Agent
Marizyme, Inc.
OTC: MRZM
January 30th, 2020
Initial Public Offering

$16,000,000

Lead Book Runner
AnPac Bio-Medical Science
NASDAQ: ANPC
October 25th, 2019
Initial Public Offering

$12,650,000

Sole Book Runner
Happines Biotech Group, Ltd.
NASDAQ: HAPP
February 4th, 2019
Initial Public Offering

$8,000,000

Sole Book Runner
INmune Bio, Inc.
NASDAQ: INMB

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