PTI Securities & Futures

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PTI Securities & Futures
Industry Financial Services
Founded 1991 in Chicago, Illinois
Headquarters Chicago, Illinois
Products Money management, discount stock brokerage, securities

PTI Securities & Futures is a money management, securities and discount brokerage firm with offices in Chicago, Illinois and Peoria, Arizona. Established in 1991, PTI Securities provides investors, fund managers and pension funds in the United States with investment consulting services.[1]


  • Tom Haugh, Chief Investment Officer
  • Dan Haugh, President
  • Dave Westhouse, Vice President, Retail Securities Execution
  • Robin Spitalny, Vice President, Portfolio Management
  • Larry Parkhill, Vice President, PTI ProDirect
  • Jim Doran, Vice President, Managed Account Execution


PTI Securities provides three main products. The first is an online stock trading service that gives investors the ability to place stock trades online or by phone and receive PTI brokers’ assistance. The "Protected Index Program" is a managed money program or separately managed account(SMA) in which investors can tailor their investments to match their personal risk profile. And, PTI’s "ProDirect" brokerage service allows self-directed traders to trade online and obtain minimal broker assistance.[2]

The privately owned company reported that, as of Dec. 31, 2008, its Protected Index Program beat the S&P 500 by 56.04% over the past 10 years, and beat the Russell 2000 Index (IWM) by 45.08% since its inception.[3]

The Wall Street Journal and Pensions & Investments, an investment trade magazine, recognized PTI as one of the nation’s “top performing equity managers” in 2008, for the performance of its Protected Index Program, a separately managed account.[4][5] In their stories, the two publications also reported that separately managed accounts (SMAs) outperformed mutual funds from 2006 through 2008, and unveiled new research from Morningstar research firm which found that SMAs beat mutual funds in 22 of 26 stock and bond categories during that time.

Investment News recognized the Protected Index Program as one of the most successful equity fund strategies for the year ended March 31, 2009.[6]

With the Dow Jones Industrial Average losing 33.8% in 2008, its worst performance since 1931 during the Great Depression, many investors are looking for protection from market risk and future losses.[7]

Investor Education[edit]

CNBC-TV and other major U.S. media seek PTI Securities management officials for their investment and market analysis expertise.[8][9][10] [11] Businesses and organizations turn to the firm’s management to get their information and analysis.[12] To communicate with investors, the company’s management makes presentations on investment tools.[13][14] PTI Securities is best known in the Chicago metropolitan area in part because Principal Tom Haugh co-hosted “Stocks and Jocks,” a daily investment analysis program on Chicago sports radio station WSCR from 2001 to 2008.[15] As of February 1, 2010 this show airs daily on 1240AM WSBC Chicago.[16]

Tom Haugh also publishes a “Dollars & Sen$e” informational blog giving his analysis of the latest key market, economics and finance developments.[17]

In June 2009, President Dan Haugh wrote an article published in Stocks, Futures and Options (SFO) magazine, where he emphasized the importance of investors “insuring” their investments by using options to lessen the chance of stock investment losses such as the stock market’s major drop in 2008. In the story, Haugh said “… the age of using the option product as an investment risk-management tool is upon us.” [18]


Before establishing the firm, Tom and Dan Haugh and their other senior management were traders at the Chicago Board Options Exchange (CBOE).[19]

The CBOE lists the company as among Trading Firm Contacts that investors can consider.[20] PTI Securities & Futures is a member of the Securities Investor Protection Corporation (SIPC), Financial Industry Regulatory Authority (FINRA), and the National Futures Association (NFA). [21] [22][23]

External links[edit]


  1. ^ "PTI Securities & Futures LP website". Retrieved 15 February 2009. 
  2. ^ "PTI Website frontpage". Retrieved 15 February 2009. 
  3. ^ "Protected Index Program". Retrieved 15 February 2009. 
  4. ^ [1] Wall Street Journal, “SMAs Beat Mutual Funds in 2008”
  5. ^ [2] Pensions & Investments, “Top Performing Equity Managers
  6. ^ [3]
  7. ^ Mckay, Peter A. (1 January 2009). "Dow Wraps Up Dismal Year, Blue Chips Sink 34 Percent". Retrieved 15 February 2009. 
  8. ^ "Who Killed Bear Stearns". Retrieved 15 February 2009. 
  9. ^ "Investors Pile Into Wachovia Put Options". 26 September 2008. Retrieved 15 February 2009. 
  10. ^ "Wheat Rises on Speculation Demand Will Shrink US Inventories". Retrieved 15 February 2009. 
  11. ^ "Playing The Oil Patch". Retrieved 26 February 2009. 
  12. ^ "Lakeside Bank Addresses Market Volatility". Retrieved 15 February 2009. 
  13. ^ "American Association of Individual Investors-Madison". Retrieved 15 February 2009. 
  14. ^ "Live Seminars and Events with CBOE Options Institute". Retrieved 15 February 2009. 
  15. ^ "WPTI Radio Archive". Retrieved 15 February 2009. 
  16. ^ "Stocks And Jocks". Retrieved 15 February 2009. 
  17. ^ "Dollars & Sen$". Retrieved 15 February 2009. 
  18. ^ Stock, Futures and Options, “Diversification is not enough,” June 2009
  19. ^ "PTI Securities website". PTI Securities=15 February 2009. 
  20. ^ "CBOE Broker Contacts". Retrieved 15 February 2009. 
  21. ^ "SIPC Database". Retrieved 15 February 2009. 
  22. ^ "About FINRA, Member Firms". Retrieved 15 February 2009. 
  23. ^ "NFA Details, PTI Securities & Futures LP". Retrieved 15 February 2009.