CAT Counterparty Contact Utility

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Broker Name Business Line [IMID] CAT Contact - Name Email Phone # CRD #
LIQUIDITYBOOK LLC
Liquidnet, Inc Christopher Sharrett christopher.sharrett@tpicap.com 2122085928 103987
Liquidnet, Inc. LQNT Gary Joblon gjoblon@liquidnet.com 9144433106 103987
Lombard Securities Incorporated
Lowell and Company Inc
LPL Financial Juliana Arias juliana.arias@lpl.com 858-909-6874 6413
Luminex Trading & Analytics LLC
Lupo
Lynx Trading
M&T Securities BALE SS&C FMG Complianc FMG-Compliance@sscinc.com (844) 662-2977 17358
M.E. Allison & Co., Inc.
M.S. Howells & Co. Mary Ann Bonnet mbonnet@mshowells.com 480-563-2015 104100
Mack Investment Securities, Inc.
Mackie Research Capital Corporation
Macquarie Capital (USA) Inc. MACQ MCUSA CED Reg Ops cogmodregulatoryrep@macquarie.com +1 212 231 6116 36368
Macro Risk Advisors
Madison Avenue Securities, LLC
Maplewood Investment Advisors, Inc.
Marathon Trading Group LLC
Mark J. Muller Equities, Inc.

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