Investment Banking

Capital Markets Advisory

Sales & Trading

Wealth Management

About Us

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

UNIVEST AT A GLANCE

Products & Services

Investment Banking

Innovative, Fundamental Driven and Global Exposure.

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Products & Services

Capital Markets Advisory

Enduring Partnerships with Strategic Investors.

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Products & Services

Sales & Trading

Communicating, Executing and Delivering Ideas and Returns.

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Products & Services

Wealth Management

Disciplined, Personalized and Experienced.

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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

President, Chief Executive Officer, Head of Investment Banking Division

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Our Team

John Bermingham

Chief Compliance Officer

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Our Team

Bradley Richmond

Chief Operating Officer, Co-Head of Investment Banking Division

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Our Team

Scott E. Madison

Managing Director of Capital Markets

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Most Recent Transaction

Nestpoint Group Fuels Univest Securities, LLC’s Ascent to Investment Banking Powerhouse in Trump’s Economic Golden Age

Univest Securities, LLC, New York’s premier boutique investment bank, is proud to announce a strategic investment from Nestpoint Group, a leading firm in government affairs, finance, and private equity based in Dallas and Washington, D.C. This powerhouse partnership positions Univest to rise as a global investment banking leader, harnessing unparalleled opportunities for economic expansion under the Trump administration’s bold vision for American prosperity.

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RECENT TRANSACTIONS

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March 24th, 2025

PIPE

$41,000,000

Sole Placement Agent

Faraday Future Intelligent Electric Inc.
NASDAQ: FFAI

March 24th, 2025

Registered Direct Offering

$1,480,000

Sole Placement Agent

PMGC Holdings Inc.
NASDAQ: ELAB

March 18th, 2025

Follow-On Offering

$12,000,000

Sole Placement Agent

Bon Nature Life LTD
NASDAQ: BON

March 6th, 2025

PIPE

$1,000,000

Sole Placement Agent

GD Culture Group Limited
NASDAQ: GDC

March 3rd, 2025

PIPE

$5,371,000

Sole Placement Agent

General Enterprise Ventures, INC.
NASDAQ: GEVI

January 29th, 2025

Registered Direct Offering

$3,400,000

Sole Placement Agent

Lichen China Limited
NASDAQ: LICN

January 28th, 2025

Warrant Inducement

$1,920,000

Sole Financial Advisor

PMGC Holdings Inc.
NASDAQ: ELAB

January 23th, 2025

Registered Direct Offering

$4,420,000

Sole Placement Agent

Houston American Energy Corp.
NYSE: HUSA

December 31st, 2024

Registered Direct Offering

$3,125,000

Sole Placement Agent

Lichen China Limited
NASDAQ: LICN

December 27th, 2024

Registered Direct Offering

$2,800,000

Sole Placement Agent

Lichen China Limited
NASDAQ: LICN

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

PIPE

$61,215,000

Sole Placement Agent

Cenntro Electric Group Limited
NASDAQ: CENN

June 17th, 2022

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

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

UNIVEST IN THE NEWS

Univest Securities, LLC Announces Closing of $12 Million Best Efforts Offering for its Client Bon Natural Life Limited (NASDAQ: BON)

New York, New York, March 18, 2025 (GLOBE NEWSWIRE) — Univest Securities, LLC (“Univest”), a member of FINRA a[...]

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Univest Securities, LLC Announces Closing of $1.48 Million Registered Direct Offering for its Client PMGC Holdings Inc. (NASDAQ: ELAB)

New York, New York, March 24, 2025 (GLOBE NEWSWIRE) — Univest Securities, LLC (“Univest”), a member of FINRA a[...]

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Faraday Future Secures New $41 Million Funding Commitment to Advance Faraday X (FX) and AI Strategic Upgrades

This round of financing is expected to bring the Company’s total fundraising to over $100 million since September 2024[...]

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Nestpoint Group Fuels Univest Securities, LLC’s Ascent to Investment Banking Powerhouse in Trump’s Economic Golden Age

New York, New York, April 07, 2025 (GLOBE NEWSWIRE) — Univest Securities, LLC (“Univest”), New York’s premie[...]

Learn More

04/07/2025

Nestpoint Group Fuels Univest Securities, LLC’s Ascent to Investment Banking Powerhouse in Trump’s Economic Golden Age

03/25/2025

Faraday Future Secures New $41 Million Funding Commitment to Advance Faraday X (FX) and AI Strategic Upgrades

03/24/2025

Univest Securities, LLC Announces Closing of $1.48 Million Registered Direct Offering for its Client PMGC Holdings Inc. (NASDAQ: ELAB)

03/18/2025

Univest Securities, LLC Announces Closing of $12 Million Best Efforts Offering for its Client Bon Natural Life Limited (NASDAQ: BON)

03/03/2025

Eightco Holdings, Inc. Rings the Opening Bell (NASDAQ: OCTO); Univest Acts as the ATM Agent.

01/29/2025

Univest Securities, LLC Announces Closing of $3.4 Million Registered Direct Offering for its Client Lichen China Limited (NASDAQ: LICN)

01/28/2025

Univest Securities, LLC Announces Closing of $1.92 Million Warrant Inducement for its Client PMGC Holdings Inc. (NASDAQ: ELAB)

01/24/2025

Univest Securities, LLC Announces Closing of $4.42 Million Registered Direct Offering for its Client Houston American Energy Corp. (NYSE American: HUSA)