NYSE MKT is the leading capital market for small cap companies within NYSE. Listed companies have the benefit of a fully integrated trading platform that combines leading technology with the human participation of designated market makers. The value proposition extends to the global branding and visibility of the NYSE, access to the leading community of thought leaders and capital market intelligence for NYSE MKT listed companies.


Membership Process

Become a NYSE/NYSE MKT Equity Member

Step 1: Qualify

Membership is available to registered and new U.S. based broker-dealers who obtain a Self Regulatory Organization (SRO) and have an established connection to a clearing firm. Individual investors are not eligible. When applying for membership on NYSE you obtain reciprocity of membership on NYSE MKT for equities as well, and vice versa.

Step 2: Fill Out Relevant, Market-Specific Forms

To expedite the process, please email forms and applications directly to Client Relationship Services by clicking on the ‘Contact Us’ link below.

Connect

Once you have submitted the Membership Application and Agreements, you can begin the connectivity process right away. Firms can connect to our markets directly or through a Service Bureau in a number of different ways. Review our Connectivity page and contact us to explore your options.


How to Join

For questions regarding the application, supporting documentation, or process, please contact Client Relationship Services using the “Contact Us” button below.

The application and all supporting documentation should be sent electronically via email to Client Relationship Services at crs@nyse.com, or by using the “Contact Us” button below. Please ensure all attachments are clearly labeled.

An original signed copy of Section 2 (Applicant Firm Acknowledgment) is required to be submitted directly to the Exchange along with the appropriate application fee. These documents should be mailed to:

NYSE
Client Relationship Services
20 Broad Street, 10th Floor
New York, NY 10005


FINRA Member Firms

Firms that are FINRA members may apply for NYSE and NYSE MKT Equity Membership by completing the Membership Application, AP Form and purchasing a Trading License.


Non-FINRA Firms

Proprietary trading firms that are not existing FINRA Members, and are interested in becoming an NYSE and NYSE MKT Equity Member Organization, should complete the Membership Application, AP Form and purchase a Trading License. Additionally, firms that are not FINRA members must obtain membership with another Self Regulatory Organization (SRO). Please note that only proprietary trading firms can apply for NYSE and NYSE MKT Equity Membership under this application. Firms conducting a floor business and/or a public-dealing customer business are NOT eligible for this type of Membership, and must be members of FINRA.


Other Required Forms


Forms for Individuals


Connectivity

To directly connect to the NYSE and NYSE MKT the Member Firm must hold a Trading License and then can complete the below required documents to directly connect:


Additional Information


Membership Types

Our unique next-generation trading model includes the following key market participants: Designated Market Makers, Trading Floor Brokers, Supplemental Liquidity Providers and Retail Liquidity Providers.

Designated Market Makers (DMMs) are the only market participants that assume true accountability for maintaining a fair and orderly market:

  • DMMs manage a physical auction to combine with an automated auction that includes algorithmic quotes from other DMMs and market participants.
  • DMMs are required to meet stringent NYSE depth and continuity standards.  
  • To encourage participation and bolster market quality, DMMs are on parity with Display Book and floor broker quotes.

NYSE Designated Market Maker Firms

  • Barclays
  • Brendan E. Cryan and Company, LLC
  • IMC Financial Markets
  • J. Streicher & Co., LLC
  • KCG Americas LLC
  • Virtu Financial Capital Markets, LLC

NYSE MKT Designated Market Maker Firms

  • Brendan E. Cryan and Company, LLC
  • J. Streicher & Co., LLC
  • KCG Americas LLC
  • Virtu Financial Capital Markets, LLC

Firms That Trade Nasdaq UTP on NYSE MKT

  • Brendan E. Cryan and Company, LLC
  • J. Streicher & Co., LLC
  • Virtu Financial Capital Markets, LLC

Trading Floor Brokers

Brokers on the NYSE Trading Floor combine flexibility, judgment, automation and anonymity with state-of-the-art technology and order management tools.

  • Trading floor brokers are positioned at the point of sale during openings, closings and unique intra-day occurrences to execute trades
  • Trading floor brokers use e-Broker hand-held devices, e-Quotes, and algorithm programs to achieve individual parity with DMMs and the NYSE Display Book
  • Trading floor brokers use handheld order-management devices to identify trader badge numbers, send Instant Messages, and to route all or part of a customer order to an external algo engine

Supplemental Liquidity Providers

Supplemental Liquidity Providers (SLPs) are high-volume trading members who add liquidity to the NYSE. The SLP program rewards aggressive liquidity suppliers who complement and add competition to existing quote providers.


  • SLPs must maintain a bid or offer at the National Best Bid or Offer (NBBO) in each assigned security at least 10 percent of the trading day
  • SLPs trade only for their proprietary accounts, not for public customers or on an agency basis
  • SLPs that post liquidity in an assigned security that executes against incoming orders are awarded a financial rebate by the NYSE

Approved NYSE Supplemental Liquidity Providing (SLP-Prop) Firms

  • Barclays Capital, Inc.
  • Goldman Sachs & Company
  • HRT Financial LLC
  • KCG Americas LLC
  • Latour Trading, LLC
  • BofA/Merrill
  • Tradebot Systems, Inc.
  • Virtu Financial BD LLC

Approved NYSE Supplemental Liquidity Providing (SLMM) Firms

  • Citadel Securities LLC
  • KCG Americas LLC
  • Goldman, Sachs & Company

Fact Sheets

Membership Directory

Name Address Phone/Fax
ABN AMRO Clearing Chicago LLC
www.abnamroclearing.com/en
175 West Jackson Blvd. 4th Floor
Chicago IL 60604
P: (312) 604-8000
Abel/Noser Corporation
www.abelnoser.com
One Battery Park Plaza 6th Floor
New York NY 10004
P: (646) 432-4000
F: (212) 363-7574
Albert Fried & Company LLC
www.albertfried.com
45 Broadway 24th Floor
New York NY 10006
P: (212) 542-8266
F: (212) 422-7293
Apex Clearing Corporation
www.apexclearing.com
1700 Pacific Avenue Suite 1400
Dallas TX 75201
P: (214) 765-1100
Archipelago Securities LLC
www.tradearca.com
100 South Wacker Drive Suite 1800
Chicago IL 60606
P: (312) 960-1696
Name Address Phone/Fax
BATS Trading, Inc.
www.batstrading.com
8050 Marshall Drive Suite 1200
Lenexa KS 66214
P: (913) 815-7000
F: (913) 815-7119
BB&T Securities LLC
www.clearviewcs.com
800 Discovery Drive Suite 200
Richmond VA 23229
P: (804) 643-1811
BMO Capital Markets Corp.
www.bmocm.com
3 Times Square 27th Floor
New York NY 10036
P: (212) 702-1200
F: (212) 702-1204
BNP Paribas Prime Brokerage Inc.
www.primebroker.com
787 Seventh Avenue 8th Floor
New York NY 10019
P: (212) 471-6768
F: (212) 471-6411
BNP Paribas Securities Corp.
www.bnpparibas-us-info.com
787 Seventh Avenue
New York NY 10019
+1.212.841.3000
F: (212) 841-2146
Baker & Co. Incorporated
www.bakerinvestments.net
19111 Detroit Road Suite 100
Rocky River OH 44116
P: (216) 696-0167
F: (440) 333-6800
Banca IMI Securities Corp.
www.bancaimi.it
One William Street
New York NY 10004
P: (212) 326-1100
F: (212) 326-1175
Barclays Capital Inc.
www.barcap.com
745 Seventh Avenue
New York NY 10019
P: (212) 526-7000
Bay Crest Partners LLC
www.baycrestpartners.com
40 Wall Street 45th Floor
New York NY 10005
P: (212) 480-1400
F: (212) 248-3815
Benjamin & Jerold Brokerage Inc.
www.benjaminjerold.com
55 Broad Street 28th Floor
New York NY 10004
P: (312) 341-0816
Blue Point Securities Inc.
 
c/o Gettenberg Consulting 40 Wall Street - 34th Floor
New York NY 10005
P: (212) 668-8700
F: (212) 668-8428
Bowers Securities Inc.
 
c/o Gettenberg Consulting 40 Wall Street - 34th Floor
New York NY 10005
P: (212) 656-5000
Brendan E. Cryan and Company LLC
www.bcryanco.com
2 Rector Street
New York NY 10006
P: (212) 285-1191
F: (212) 285-1192
Brittingham Inc.
 
5809 Kennett Pike
Wilmington DE 19807
P: (302) 656-8173
Brown Brothers Harriman & Co.
www.bbh.com
140 Broadway
New York NY 10005
P: (212) 483-1818
Brownstone Investment Group, LLC
www.brownstone.com
505 Fifth Avenue, 10th Floor
New York, NY 10017
P: (212) 905-0525
Name Address Phone/Fax
CIBC World Markets Corp.
www.cibcwm.com
425 Lexington Avenue
New York NY 10017
P: (212) 856-4000
CLSA Americas LLC
 
1301 Avenue of the Americas 15th Floor
New York NY 10019
P: (212) 549-8900
Capital Institutional Services Inc.
www.capis.com
1601 Elm St. Suite 3900
Dallas TX 75201
P: (214) 720-0055
F: (214) 871-2982
Citadel Securities LLC
www.citadelgroup.com/securities/about-securities.php
131 South Dearborn Street 32nd Floor
Chicago, IL 60603
P: (312) 395-3116
Citicorp Securities Services Inc.
 
388 Greenwich Street
New York NY 10013
P: (212) 723-7600
Citigroup Global Markets Inc.
www.citigroup.com
388 Greenwich Street
New York NY 10013-2396
P: (212) 816-6000
ConvergEx Execution Solutions LLC
www.bnyconvergex.com
1633 Broadway 48th Floor
New York NY 10019
P: (212) 468-7500
F: (212) 468-7505
Cowen Capital LLC
www.cowen.com
599 Lexington Avenue
New York NY 10022
P: (646) 562-1000
F: (212) 845-7999
Cowen and Company LLC
www.cowen.com
599 Lexington Ave. 20th Floor
New York NY 10020
P: (646) 562-1000
Credit Agricole Securities (USA) Inc.
www.calyonsecdocs.com
1301 Avenue of the Americas 15th Floor
New York NY 10019
P: (212) 408-5700
Credit Suisse Securities (USA) LLC
www.credit-suisse.com
11 Madison Avenue
New York NY 10010-3629
P: (212) 325-2000
F: (212) 325-6665
Cuttone & Co. Inc.
www.cuttone.com
111 Broadway 10th Floor
New York NY 10006
P: (646) 943-5400
Name Address Phone/Fax
DAG Securities Inc.
www.dagllc.com
c/o Gettenberg Consulting 40 Wall Street - 34th Floor
New York NY 10005
P: (212) 668-8700
F: (212) 668-8428
DART Executions LLC
www.dartexecutions.com
350 N. Orleans Street Suite 2N
Chicago IL 60654
P: (312) 244-5900
DME Securities LLC
target="_blank">www.dmesecurities.com
c/o Buttonwood Business Solutions
30 Broad Street Suite 1441
New York NY 10005
P: (212) 344-5040
F: (212) 742-1696
Daiwa Capital Markets America Inc.
target="_blank">www.daiwacm.com
32 Old Slip Financial Square
New York NY 10005
P: (212) 612-7000
Dash Financial, LLC
 
910 W. Van Buren St
Chicago, IL 60607
P: (888) 569-3274
Davenport & Company
target="_blank">www.davenportllc.com
901 East Cary Street Suite 1100.
Richmond VA 23219
P: (804) 780-2000
F: (804) 780-2008
David A. Noyes & Co.
www.danoyes.com
209 South LaSalle Street 12th Floor
Chicago IL 60604
P: (312) 782-0400
F: (312) 782-4147
Dermott W. Clancy Corp.
wwwdwclancycorp.com
40 Wall Street 38th Floor
New York NY 10005
P: (212) 747-1744
F: (212) 747-1763
Deutsche Bank Securities Inc.
www.db.com
60 Wall Street
New York NY 10005
P: (212) 250-2500
Doyle Inc.
www.johnjdoyle.com
℅ MAC Consulting Group Inc.
2 Rector Street - Suite 2101
New York NY 10006
P: (212) 267-6011
F: (212) 267-1085
Dru Stock Inc
www.drustock.com
5 Arthurs Court
Newtown CT 06470
P: (212) 344-3116
F: (203) 270-0479
Name Address Phone/Fax
E&J Securities Corp.
 
c/o Gettenberg Consulting 40 Wall Street - 34th Floor
New York NY 10005
P: (212) 668-8700
F: (212) 668-8428
E*TRADE Clearing LLC
www.etrade.com
Harborside Financial Center 34 Exchange Place
Jersey City NJ 07311
P: (212) 826-8730
F: (212) 826-3544
Edward D. Jones & Co.
www.edwardjones.com
12555 Manchester Road
St. Louis MO 63131
P: (314) 515-4900
Electronic Transaction Clearing Inc.
www.etc-clearing.com
600 South Figueroa Street Suite 1450
Los Angeles CA 90017
P: (213) 402-1563
Empire Executions Inc.
 
c/o Gettenberg Consulting 40 Wall Street - 34th Floor
New York NY 10005
P: (212) 668-8700
F: (212) 668-8428
Name Address Phone/Fax
Farina & Associates Inc.
www.farinaandassociates.com
20 Broad Street 7th Floor
New York NY 10005
P: (212) 668-8700
F: (212) 480-3786
Ferretti Group Inc.
 
40 Wall Street 34th Floor
New York NY 10005
P: (212) 509-1982
F: (212) 509-1968
Fidelity Brokerage Services LLC
www.fidelity.com
155 Seaport Boulevard
Boston MA 02210
P: (617) 563-7000
F: (617) 476-9619
First Clearing LLC
www.firstclearing.com
901 East Byrd Street 12th Floor Mail Code WS2491
Richmond VA 23219
P: (804) 965-2200
First Southwest Company
www.firstsw.com
325 North St. Paul Suite 800
Dallas, TX 75201
P: (214) 953-4000
F: (214) 953-8736
Folger Nolan Fleming Douglas Inc.
www.fnfd.com
725 15th Street N.W. 3rd Floor
Washington DC 20005
P: (202) 783-5252
Fred Alger & Company Inc.
www.alger.com
360 Park Avenue South
New York NY 10010
P: (800) 223-3810
Name Address Phone/Fax
G&L Partners Inc.
www.gandlpartners.com
10 Liberty Street Suite 21F
New York NY 10005
P: (212) 217-0074
GTS Securities, LLC
www.gtsx.com
545 Madison Avenue 15th Floor
New York NY 10022
P: (212) 715-2830
(212) 715-5919
Gilder Gagnon Howe & Co. LLC
www.gghc.com
1775 Broadway
New York NY 10019
P: (212) 765-2500
F: (212) 582-1196
Global Direct Equities LLC
www.globaldirectequities.com
71 Broadway 10th Floor
New York NY 10006
P: (212) 785-1941
F: (212) 785-1201
Goldman Sachs Execution & Clearing LP
www.gs.com
30 Hudson Street
Jersey City NJ 07302
P: (212) 433-2266
F: (212) 433-7489
Gordon Haskett & Co.
 
71 Arch Street 2nd Floor
Greenwich CT 06830
P: (203) 862-5100
Gordon Haskett Capital Corporation
www.indataweb.com
441 Lexington Avenue
New York NY 10017
P: (212) 883-0600
Greywolf Execution Partners Inc.
www.greywolfep.com
c/o Gettenberg Consulting 40 Wall Street - 34th Floor
New York NY 10005
P: (212) 809-0579
Guzman & Company
www.guzman.com
101 Aragon Avenue
Coral Gables FL 33134
P: (305) 374-3600
F: (305) 374-0731
Name Address Phone/Fax
HRT Financial LLC
www.hudson-trading.com
32 Old Slip 30th Floor
New York NY 10005
P: (212) 293-1444
F: (212) 293-1939
HSBC Securities (USA) Inc.
www.hsbcnet.com
452 Fifth Avenue
New York NY 10018
P: (212) 525-5000
F: (908) 203-4211
Hamershlag Sulzberger Borg Capital Markets Inc.
 
c/o Gettenberg Consulting 40 Wall Street - 34th Floor
New York NY 10005
P: (212) 668-8700
F: (212) 668-8428
Name Address Phone/Fax
IEX Services LLC
www.iextrading.com
7 World Trade Center 30th Floor
New York NY 10007
P: (646) 568-2320
IMC Financial Markets
www.imc-trading.com
233 South Wacker Drive Suite 4610
Chicago IL 60606
P: (312) 362-3713
F: (312) 362-3711
ING Financial Markets LLC
www.ing.com
1325  Avenue of the Americas
New York NY 10019
P: (646) 424-6000
ITG Inc.
www.itg.com
One Liberty Plaza 165 Broadway
New York NY 10006
P: (212) 588-4000
F: (212) 444-6353
Illustro Trading LLC
 
c/o MAC Consulting Group Inc. 2 Rector Street - Suite 2101
New York NY 10006
P: (212) 267-6011
F: (212) 267-1085
Industrial and Commercial Bank of China
Financial Services LLC
www.icbc.com
1633 Broadway 28th Floor
New York NY 10019
P: (212) 993-7375
F: (212) 993-7349
Ingalls & Snyder LLC
www.ingalls.net
61 Broadway 31st Floor
New York NY 10006
P: (212) 269-7800
F: (212) 269-7813
Instinet LLC
www.instinet.com
Three Times Square
New York NY 10036
P: (212) 310-9500
Interactive Brokers LLC
www.interactivebrokers.com
One Pickwick Plaza 1st Floor
Greenwich CT 06830
P: (203) 618-5700
F: (203) 618-5770
Invemed Associates LLC
 
375 Park Avenue Suite 2205
New York NY 10152
P: (212) 421-2500
F: (212) 421-2523
Name Address Phone/Fax
J. Streicher & Co. L.L.C.
www.jstreicher.com
60 Broad Street 38th Floor
New York NY 10004
P: (212) 425-2320
F: (212) 248-9061
J.J.B. Hilliard W.L. Lyons LLC
www.hilliard.com
500 West Jefferson Street 7th Floor
Louisville KY 40202
P: (502) 588-8400
J.P. Morgan Clearing Corp.
www.globalclearing.com
One Metrotech Center North
Brooklyn NY 11201
P: (347) 643-1000
J.P. Morgan Securities LLC
www.jpmorgan.com
383 Madison Avenue
New York NY 10179
P: (212) 272-2000
F: (212) 272-4785
JNK Securities Corp.
www.jnksecurities.com
489 Fifth Avenue 25th Floor
New York NY 10017
P: (212) 885-6300
F: (212) 885-6301
James E. Coffey Securities Inc.
 
c/o Buttonwood 30 Broad St 14th floor
New York NY 10005
P: (212) 656-5000
Jane Street Capital, LLC
www.janestreet.com
One New York Plaza
New York, NY 10004
P: (212) 651-6070
Janney Montgomery Scott LLC
www.jmsonline.com
1717 Arch Street
Philadelphia PA 19103
P: (215) 665-6000
Jefferies Execution Services Inc.
www.jefco.com
520 Madison Avenue
New York NY 10022
P: (212) 284-2300
Jump Trading LLC
www.jumptrading.com
600 West
Chicago Avenue Suite 825
Chicago IL 60654
P: (312) 205-8900
F: (312) 205-8999
Name Address Phone/Fax
KFM Securities Inc.
 
c/o Gettenberg Consulting 40 Wall Street - 34th Floor
New York NY 10005
P: (212) 656-5000
Kahn Brothers LLC
www.kahnbrothers.com
555 Madison Avenue 22nd Floor
New York NY 10022
P: (212) 980-5050
Keefe Bruyette & Woods Inc.
www.kbw.com
787 Seventh Avenue 4th Floor
New York NY 10019
P: (212) 887-7777
F: (212) 397-9095
KeyBanc Capital Markets Inc.
www.key.com
800 Superior Avenue
Cleveland OH 44114-2603
P: (216) 443-2300
Knight Capital Americas LLC
www.knight.com
545
Washington Blvd.
Jersey City NJ 07310
P: (201) 222-9400
F: (201) 557-6853
Name Address Phone/Fax
Ladenburg Thalmann & Co. Inc.
www.ladenburg.com
520 Madison Avenue 9th Floor
New York NY 10022
P: (212) 409-2000
F: (212) 409-2515
Latour Trading LLC
 
377 Broadway 10th Floor
New York NY 10013
P: (212) 219-6000
Lek Securities Corporation
www.leksecurities.com
1 Liberty Plaza 165 Broadway
New York NY 10006
P: (212) 509-2300
F: (212) 509-3540
Lightspeed Trading LLC
www.lightspeed.com
148 Madison Avenue 9th Floor
New York NY 10016
P: (646) 393-4800
F: (646) 393-4844
Lime Brokerage LLC
www.limebrokerage.com
625 Broadway 12th Floor
New York NY 10012
P: (212) 824-5000
F: (212) 219-6091
Livermore Trading Group Inc.
www.ltgtrade.com
c/o Gettenberg Consulting 40 Wall Street - 34th Floor
New York NY 10005
P: (212) 747-9450
F: (212) 668-8428
Name Address Phone/Fax
MF Global Inc.
www.mfglobal.com
440 South LaSalle Street 20th Floor
Chicago IL 60605
P: (312) 663-7500
F: (312) 663-7524
Mark J. Muller Equities Inc.
 
18 Cayuga Road
Scarsdale NY 10583
P: (212) 480-3417
McCauley Securities Ltd.
 
80 Broad Street 27th Floor
New York NY 10004
P: (212) 363-1050
Meridian Equity Partners Inc.
www.meptraders.com
5 Hanover Square 21st Floor
New York NY 10004
P: (212) 742-8472
F: (212) 742-8535
Merrill Lynch Professional Clearing Corp.
 
222 Broadway 6th Floor
New York NY 10038
P: (212) 670-2000
Merrill Lynch Pierce Fenner & Smith Inc.
www.ml.com
1 Bryant Park
New York NY 10036
P: (212) 449-1000
F: (212) 449-7461
Mesirow Financial Inc.
www.mesirowfinancial.com
353 N. Clark Street
Chicago IL 60654
P: (312) 595-6000
Montecito Advisors Inc.
www.montadv.com
2015 State Street Suite B
Santa Barbara CA 93105
P: (805) 682-1484
F: (805) 682-1389
Moors & Cabot Inc.
www.moorscabot.com
111 Devonshire Street
Boston MA 02109
P: (617) 426-0500
F: (617) 426-6848
Morgan Stanley & Co. LLC
www.ms.com
1585 Broadway 4th Floor
New York NY 10036
P: (212) 761-4000
F: (212) 762-4857
Morgan Stanley Smith Barney LLC
www.morganstanleysmithbarney.com
2000 Westchester Avenue
Purchase NY 10577
P: (914) 225-5510
F: (914) 225-6770
Muriel Siebert & Co. Inc.
www.siebertnet.com
885 Third Avenue Suite 1720
New York NY 10022
P: (212) 644-2400
Name Address Phone/Fax
Nasdaq Execution Services LLC
www.nasdaqtrader.com
One Liberty Plaza 165 Broadway
New York NY 10006
P: (212) 401-8982
National Financial Services LLC
www.nationalfinancial.com
200 Seaport Boulevard
Boston MA 02110
P: (800) 800-6890
F: (212) 945-1254
NativeOne Institutional Trading LLC
www.nativeonefinancial.com
30 Broad Street 20th Floor
New York NY 10004
P: (212) 742-8111
Natixis Securities Americas LLC
www.blr.natixis.com
1251 Avenue of the Americas
New York NY 10020
P: (212) 698-3000
Nomura Securities International Inc.
www.nomura.com
2 World Financial Center Building B 18th Floor
New York NY 10281-1198
P: (212) 667-9000
F: (212) 667-1058
Name Address Phone/Fax
O'Neil Securities Incorporated
www.oneilsecurities.com
12655 Beatrice Street Suite 2B
Los Angeles CA 90066
P: (310) 448-6800
OBD Securities LLC
 
150 N. Michigan Avenue Suite 3700
Chicago IL 60601
P: (312) 768-1600
F: (312) 768-1699
OTA LLC
www.otallc.com
One Manhattanville Road Suite 460
Purchase NY 10577
P: (914) 694-5800
Oppenheimer & Co. Inc.
www.opco.com
125 Broad Street 15th Floor
New York NY 10004
P: (212) 668-8000
F: (212) 480-3494
Oscar Gruss & Son Incorporated
www.oscargruss.com
292 Madison Avenue 14th Floor
New York NY 10017
P: (212) 514-2400
Name Address Phone/Fax
Pershing LLC
www.pershing.com
One Pershing Plaza
Jersey City NJ 07399
P: (201) 413-2301
F: (201) 369-0984
Peter Mancuso & Co. LP
 
c/o Gettenberg Consulting 40 Wall Street - 34th Floor
New York NY 10005
P: (212) 267-6011
Piper Jaffray & Co.
www.pjc.com
800 Nicollet Mall Suite 800
Minneapolis MN 55402-3804
P: (612) 303-6000
Potamus Trading, LLC
www.potamustrading.com
Two Seaport Lane 5th Floor
Boston MA 02210
P: (617) 855-8722
Prime Dealer Services Corp.
 
1221 Avenue of the Americas
New York NY 10020
P: (212) 762-4000
Prime Executions Inc.
www.primexe.com
c/o Gettenberg Consulting 40 Wall Street - 34th Floor
New York NY 10005
P: (212) 785-0200
F: (646) 390-3100
Princeton Securities Group LLC
www.princetonsecurities.com
65 Broadway Suite 1001
New York NY 10006
P: (212) 825-9163
Name Address Phone/Fax
Quantlab Securities LP
www.quantlab.com
4200 Montrose Blvd. Suite 200
Houston TX 77006
P: (713) 333-3700
Quattro M. Securities Inc.
www.quattromsecurities.com
2 White Birch Road
Pound Ridge NY 10576
P: (212) 344-5661
Name Address Phone/Fax
RBC Capital Markets LLC
www.rbccm.com
One Liberty Plaza 165 Broadway
New York NY 10006
P: (212) 858-7000
RGM Securities LLC
 
221 West 6th Street Suite 2030
Austin TX 78701
P: (512) 807-5300
F: (512) 807-5301
Radnor Research & Trading Company LLC
www.rrtco.com
290 King of Prussia Road Radnor Station 2 Suite 120
Radnor PA 19087
P: (610) 293-2000
F: (610) 293-2001
Raven Securities Corp.
www.ravensecurities.com
c/o Gettenberg Consulting 40 Wall Street - 34th Floor
New York NY 10005
P: (212) 267-6011
Raymond C. Forbes & Co. Inc.
www.rcfco.com
30 Broad Street 20th Floor
New York NY 10004
P: (212) 425-7317
Raymond James & Associates Inc.
www.rjf.com
880 Carillon Parkway P.O. Box 12749
Saint Petersburg FL 33716
P: (727) 573-3800
Remington Group LLC
 
71 Broadway Suite 12D
New York NY 10006
P: (212) 968-7770
Robert W. Baird & Co. Incorporated
www.rwbaird.com
777 East Wisconsin Avenue
Milwaukee WI 53202
P: (414) 765-3500
Rosenblatt Securities Inc.
www.rblt.com
20 Broad Street 26th Floor
New York NY 10005
P: (212) 943-5225
F: (212) 344-1494
Ruane Cunniff & Goldfarb LLC
 
767 Fifth Avenue Suite 4701
New York NY 10153
P: (212) 832-5280
Name Address Phone/Fax
SG Americas Securities LLC
www.sgcib.com
1221 Avenue of the Americas
New York NY 10020
P: (212) 278-6000
F: (212) 278-7068
SIG Brokerage L.P.
www.sig.com
410 City Line Avenue
Bala Cynwyd PA 19004-1188
P: (610) 617-2600
SMF Trading Inc.
 
125 Maiden Lane 3rd Floor
New York NY 10038
P: (212) 509-1985
F: (212) 509-1968
Sanford C. Bernstein & Co. LLC
www.bernstein.com
1345 Avenue of the Americas 15th Floor
New York NY 10105
P: (212) 486-5800
Santander Investment Securities Inc.
www.gruposantander.com
45 East 53rd Street
New York NY 10022
P: (212) 756-9165
F: (212) 350-3910
Scotia Capital (USA) Inc.
www.scotia-capital.com
One Liberty Plaza 165 Broadway 25th Floor
New York NY 10006
P: (212) 225-6500
Seaport Securities Corporation
www.seaportsecurities.com
60 Broad Street 31st Floor
New York NY 10006
P: (212) 482-8689
F: (212) 809-1107
Shufro Rose & Co. LLC
www.shufrorose.com
745 Fifth Avenue 26th Floor
New York NY 10151
P: (212) 754-5100
Southwest Securities Inc.
www.swst.com
1201 Elm Street Suite 3500
Dallas TX 75270
P: (214) 859-9164
State Street Global Markets LLC
www.statestreet.com
One Lincoln Street
Boston MA 02111
P: (617) 664-4000
Stephens Inc.
www.stephens.com
111 Center Street
Little Rock AR 72201
P: (501) 377-2000
F: (501) 377-2470
Sterne Agee & Leach Inc.
www.sterne-agee.com
800 Shades Creek Parkway Suite 700
Homewood AL 35209
P: (205) 949-3500
F: (205) 949-3607
Stifel Nicolaus & Company Incorporated
www.stifel.com
501 North Broadway
St. Louis MO 63102
P: (314) 342-2000
Stuart Frankel & Co. Incorporated
www.stuartfrankel.com
60 Cutter Mill Road Suite 406
Great Neck NY 11021
P: (212) 943-8787
F: (212) 514-6888
SumRidge Partners, LLC
www.sumridge.com
111 Town Square Place Suite 320
Jersey City NJ 07310
P: (201) 898-2525
F: (201) 898-2526
Sun Trading LLC
www.suntradingllc.com
100 South Wacker Drive Suite 300
Chicago IL 60606
P: (312) 924-4700
SunGard Brokerage & Securities Services LLC
www.sungard.com/foxriver
2100 Enterprise Avenue
Geneva, IL 60134
P: (630) 482-7100
F: (630)-232-6074
Surkis Incorporated
 
c/o Gettenberg Consulting 40 Wall Street - 34th Floor
New York NY 10005
P: (212) 656-5000
Name Address Phone/Fax
TJM Investments LLC
www.tjmbrokerage.com
318 W. Adams Street 9th Floor
Chicago IL 60606
P: (312) 432-5100
F: (312) 432-4499
TradeStation Securities Inc.
www.tradestation.com
8050 Southwest 10th Street Suite 2000
Plantation FL 33324
P: (954) 652-7900
Tradebot Systems Inc.
www.tradebotsystems.com
1251 NW Briarcliff Parkway Suite 700
Kansas City MO 64116
P: (816) 285-6400
F: (816) 285-3300
Tradition Asiel Securities Inc.
www.tradition-asiel.com
75 Park Place 4th Floor
New York NY 10007
P: (212) 791-4500
Two Sigma Securities LLC
www.twosigma.com
379 West Broadway Suite 304
New York NY 10012
P: (212) 625-5700
F: (917) 237-4135
Name Address Phone/Fax
UBS Financial Services Inc.
www.ubs.com/financialservicesinc
1000 Harbor Boulevard
Weehawken NJ 07086
P: (201) 352-3000
UBS Securities LLC
www.ubs.com
1285 Ave of the Americas
New York NY 10019
P: (203) 719-3000
F: (203) 719-1188
Union Gaming Advisors, LLC
www.uniongamingadvisors.com
3930 Howard Hughes Parkway
Suite 230
Las Vegas NV 89169
P: (702) 866-0743
F: (702) 699-9198
Name Address Phone/Fax
Veritas Securities Corp.
www.veritassecurities.com
40 Wall Street #2819
New York NY 10005
P: (212) 668-8700
F: (212) 668-8428
Virtu Financial BD LLC
www.vfinllc.com
645 Madison Avenue 16th Floor
New York NY 10022
P: (212) 418-0116
F: (212) 418-0123
Virtu Financial Capital Markets LLC
www.virtu.com
1540 Second Street 3rd Floor
Santa Monica CA 90401
P: (310) 595-0126
F: (310) 651-9759
Name Address Phone/Fax
W.H. Reaves & Co. Inc.
www.whreaves.com
10 Exchange Place 18th Floor
Jersey City NJ 07302
P: (201) 332-4596
F: (201) 369-1749
Wall Street Access
www.wsaccess.com
17 Battery Place
New York NY 10004
P: (800) 774-0163
F: (212) 709-9522
Wedbush Securities Inc.
www.wedbush.com
1000 Wilshire Blvd. P.O. Box 30014
Los Angeles CA 90030
P: (213) 688-8000
F: (213) 688-6655
Wellington Shields & Co. LLC
www.wellingtonshields.com
140 Broadway Suite 4400
New York NY 10005
P: (212) 320-3000
F: (212) 320-3040
Wells Fargo Advisors LLC
www.wellsfargo.com
One North Jefferson Avenue
Saint Louis MO 63103
P: (314) 955-3000
Wells Fargo Securities LLC
www.wellsfargo.com
301 South College Street One Wachovia Center 8th Floor
Charlotte NC 28288
P: (704) 374-3369
White Bay PT, LLC 140 Broadway 38th Floor
New York NY 10005
P: (646) 651-4380
F: (718) 732-2033
William Blair & Company LLC
www.williamblair.com
222 West Adams Street
Chicago IL 60606
P: (312) 236-1600
Wolverine Capital Markets LLC
www.wolve.com
175 West Jackson Blvd. Suite 200
Chicago IL 60604
P: (312) 884-3879
Name Address Phone/Fax
     
Name Address Phone/Fax
     
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