Selecting a Clearing Broker

The decision your introducing broker makes in selecting its clearing broker can easily be the “make or break” event that determines your firm’s stability and growth for years to come.

Simply put – We know these folks!  We are familiar with all of the major correspondent clearing firms. We even know the second level players who aren’t as well known, and we are familiar with the smaller “piggyback” clearing providers. 

Our experience can help you successfully evaluate your options and find the right fit for your business model, culture, and budget.

What truly makes us different is that we look to supplement your resources

Our goal at the end of the day is to leave your staff empowered to function efficiently after the conversion.

We will provide whatever level of support you request. We can serve as an experienced, skilled resource in analyzing and identifying your critical business needs, conduct the search for a new clearing firm, and coordinate the conversion from soup to nuts, if desired. (Did we mention we were Conversion Specialists?) Or, we can more simply and strategically fill in the gaps where your staff needs select support.

Having managed firms from the top seat, we see the big picture. We understand the need to integrate and tailor your firm's specific blueprint to support your trading, IT, FINRA compliance, accounting, financial advisors and business development.

We also know the critical contract negotiation points and will provide objective and balanced evaluations of the proposals.