Trading Counterparty Form

*Counterparty Legal Entity Name (Exact):

*Contact Name:

*Address 1:

Address 2:

*City:

*State:

*Zip:

*Phone:

*Email:

*Type of Trade Execution

Global EquityFixed Income

Required Documentation
Application Form: (Accepted file types: .pdf, .doc, .docx, .xls, .xlsx, .zip)

Choose file

Most Recent SEC FOCUS Form III Report: (Accepted file types: .pdf, .doc, .docx, .xls, .xlsx, .zip)

Choose file

Current Agency Credit Report/Rating: (Accepted file types: .pdf, .doc, .docx, .xls, .xlsx, .zip)

Choose file

Summary/Highlight of Relevant Firm Capabilities: (Accepted file types: .pdf, .doc, .docx, .xls, .xlsx, .zip)

Choose file

Chart of Legal Ownership and Capital Structure, Showing Affiliations to all Related Companies: (Accepted file types: .pdf, .doc, .docx, .xls, .xlsx, .zip)

Choose file

List of All Pertinent Professional Liability Insurance Coverage and Certificate(s) of Insurance: (Accepted file types: .pdf, .doc, .docx, .xls, .xlsx, .zip)

Choose file

Index or Table of Contents for your Code of Conduct, Compliance Manual, Business Continuity Plan: (Accepted file types: .pdf, .doc, .docx, .xls, .xlsx, .zip)

Choose file

Clearing Agreement and Clear Firm's Most Recent FOCUS Report or Financial Statements (if different from the firm) if applicable: (Accepted file types: .pdf, .doc, .docx, .xls, .xlsx, .zip)

Choose file

Additional Comments:

Attention: Florida has a very broad public records law. This communication (including your email address, any attachments and other email contents) may be subject to disclosure to the public and media.