CAT Counterparty Contact Utility

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Broker Name Business Line [IMID] CAT Contact - Name Email Phone # CRD #
Aqua Securities, L.P.
ARCA Capital Investments, Inc.
Archipelago Securities, LLC
Archipelago Securities, LLC ARRB John Knight john.knight@theice.com 312-836-6529 102500
Arete Wealth Management
Arkadios Capital, LLC
Arthur W. Wood Company, Inc.
Arvest Wealth Management
Ascendiant Capital Markets, LLC
Associated Investment Services, Inc.
ATM Execution DOM SABELLA CAT-COMPLIANCE@COWEN.COM 212-468-7729 122529
ATM Execution MONTY TOUZALIN CAT-COMPLIANCE@COWEN.COM 212-468-8431 122529
Auerbach Grayson and Company
Aurora Capital LLC
AVATAR SECURITIES, LLC
Aventura Securities, LLC
Avisen Securities, Inc.
AXA Advisors, LLC
AXIOM CAPITAL MANAGEMENT INC, AXIO SS&C FMG Compliance* FMG-Compliance@sscinc.com (844) 662-2977 26580
AXOS Clearing LLC

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