CAT Counterparty Contact Utility

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Broker Name Business Line [IMID] CAT Contact - Name Email Phone # CRD #
Prime Executions, Inc.
PRINCIPAL SECURITIES, INC.
Private Portfolio, Inc.
Pro Securities LLC
Pruco Securities, LLC
Prudential Investment Management Services LLC
PTS/Sterling Trader
Puma Capital
Purshe Kaplan Sterling Investments
Quantriver Financial LLC
Queens Road Securities, LLC
Quincy Cass Associates
Quoin Capital
R. Seelaus & Co., LLC. SEEL SS&C FMG Compliance* FMG-Compliance@sscinc.com (844) 662-2977 14974
R.F. Lafferty & Co., Inc Paul Grass pgrass@rflafferty.com 2122939090 2498
R.M.STARK& CO., INC
Rainier Securities, LLC
RAMIREZ & CO., INC.
Raymond James Financial Rachel Jacobson NFRRCAT@raymondjames.com 727-567-3466 705
RBC Capital Market RBCM Michelle Chen michelle.chen@rbc.com 6479636628 31194

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