Roger Capen Shaffer

SunTrust Investment Services (STIS) generally believes that a diversified asset allocation strategy is the best approach to maximize clients' returns while minimizing risk across market cycles. The firm provides wealth accumulation services including financial planning, asset management consulting, mutual funds, annuities, educational planning and lending and financing solutions. They also offer wealth preservation services including estate planning, alternative investments and hedging and monetization strategies. The firm's wealth transition services include charitable giving, exchange funds and business succession planning. They offer corporate services including employee benefits, liquidity management, share repurchase programs and corporate lending. STIS' executive services include compensation plans, advisory services, restricted stock and trading plans. The firm also offers a variety of corporate growth strategies.

Operates as a bank holding company whose subsidiary provides community banking services

Functions as a state chartered commercial bank

Operates as a professional association and provides education services

HighTower’s investment process begins by establishing each client's investment goal and risk tolerance. Once a client's investment statement has been developed and reviewed, portfolios are designed and managed using a mix of investments, including stocks, bonds, mutual funds (stock funds, bond funds and other asset classes), options, warrants, real estate investment trusts REITS, ETFs, alternative investments, and other securities as chosen by the firm.

Functions as a College/University

Provides wealth management, securities trading and sales, corporate finance and investment banking services