FIF - Financial Information Forum

CAT Counterparty Contact Utility

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Broker Name Business Line [IMID] CAT Contact - Name Email Phone # CRD #
Amerant Investments, Inc.
American Capital Partners, LLC
American Century Investment Services, Inc.
American Enterprise Investment Services, Inc Haley Grenko cat@ampf.com 6126710934 26506
AMERICAN INVESTORS COMPANY
American Portfolios Financial
American Wealth Management, Inc.
Americas Executions, LLC
Ameriprise Financial Services, LLC Chris Lyons cat@ampf.com 612-671-4508 6363
Ameritas Investment Corp
AMS Derivatives B.V.
Andbanc Brokerage LLC
Andbank Brokerage
ANDREW GARRETT, INC
Anovest Financial Services, Inc
Aon Securities LLC
AOS, Inc.
Apex Clearing APCC Lorena Penaflor lpenaflor@apexfintechsolutions.com 2149533450 13071
Apex Clearing Corporation Apex CAT Reporting ApexCATReporting@apexclearing.com . 13071
APW Capital, Inc.

 

Terms of Acceptable Use

The Utility is restricted to persons (“Authorized Users” or “Users”) employed by or act as a CAT Reporting Agent (“Agent”) of a CAT Reporting Broker.1   The sole purpose of the Utility is to provide Brokers and/or their Agent(s) with a centralized repository of CAT contact information to facilitate and accelerate the CAT interfirm exception reconciliation process.    

Authorized Users are limited to 1) the Requestor; and 2) the firm’s Agent.  Access to the Utility is conditioned upon the following:  1) the Requestor is a current employee of a CAT Reporting Broker or it’s Agent; 2) the Requestor and (if applicable) their Agent agrees to any and all Provisions of the Terms of Acceptable Use, Disclaimer, and any other guidelines the Financial Information Forum (“FIF”) has or will publish regarding appropriate use of the Utility ; 3) the requestor provides FIF with their firm’s CAT contact information, if not previously provided; 4) if the Broker outsources CAT Error Reconciliation obligations to a vendor, the Requestor may provide the contact details of that vendor;  5) the User agrees to immediately inform FIF should the User’s or Agent’s employment/contract at the broker of record be terminated, whether voluntary or otherwise; 6) the User acknowledges that User access to the Utility is granted to the User only, not the firm.  The User agrees not to share login credentials with any other person for any reasons  

Disclaimer

The Financial Information Forum (“FIF”) and its affiliates, partners, members, and individual subscribers disclaim all liability resulting from all claims, losses or damages, whether direct, indirect, incidental, or consequential arising from any and all use of the Utility.  FIF is not responsible for any errors or omissions in the information contained in or accessed through the Utility. All such information in the Utility is self-reported by Brokers and is provided “as is.” FIF and its affiliates make no warranties or representations and disclaim all express, implied and statutory warranties of any kind to any party resulting from the use of the Utility.  

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Financial Information Forum

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fifinfo@fif.com
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You are granted limited license only for purposes of viewing the material contained on this Website.

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Your Content must be your own and must not be invading any third-party’s rights. Buckle LLC reserves the right to remove any of Your Content from this Website at any time without notice.

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