FIF - Financial Information Forum

CAT Counterparty Contact Utility

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Broker Name Business Line [IMID] CAT Contact - Name Email Phone # CRD #
Wall Street Access WABR VNDM Greg Viscovich gregory.viscovich@wsaccess.com 2127099429 10012
Wall Street Access WABR SS&C FMG Compliance* FMG-Compliance@sscinc.com (844) 662-2977 10012
wallachbeth capital
Walleye Trading LLC
Watermark Securities, Inc
WBB Securities LLC
Wealthfront Brokerage LLC SS&C FMG Compliance* FMG-Compliance@sscinc.com (844) 662-2977 153407
Webull Financial LLC
Wedbush Edward Spiegel edward.spiegel@wedbush.com 2016334832 877
Wedbush Securities Wedbush Securities Robert Racaniello robert.racaniello@wedbush.com 2295101167 877
Wedbush Securities, Inc. SS&C FMG Compliance* FMG-Compliance@sscinc.com (844) 662-2977 93009
Weeden & Co. LP
Weinzapfel Wealth Management Group, Inc.
Wellington Shields & Co. LLC
Wells Fargo WCHV Todd Golub todd.golub@wellsfargo.com 212-786-1289 126292
Wells Fargo WCHV Christopher Marcello christopher.marcello@wellsfargo.com +1 212 214 8432 126292
Wells Fargo Clearing Services WRET WFCS CAT Team CAT-WFCS@firstclearing.com 804-398-7860 19616
Wells Fargo Securities Chris Marcello christopher.marcello@wellsfargo.com 646 866 4046 126292
Wells Fargo Securities CAT Operations Team CATOps@wellsfargo.com 126292
Wells Fargo Securities LLC WCHV Dave Maciorowski dave.maciorowski@wellsfargo.com 4438001898 126292

 

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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fifinfo@fif.com
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  1. Introduction

These Website Standard Terms and Conditions written on this webpage shall manage your use of this website. These Terms will be applied fully and affect to your use of this Website. By using this Website, you agreed to accept all terms and conditions written in here. You must not use this Website if you disagree with any of these Website Standard Terms and Conditions.

Minors or people below 18 years old are not allowed to use this Website.

  1. Intellectual Property Rights

Other than the content you own, under these Terms, Buckle LLC and/or its licensors own all the intellectual property rights and materials contained in this Website.

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

  1. Restrictions

You are specifically restricted from all of the following

  • publishing any Website material in any other media;
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  1. Your Content

In these Website Standard Terms and Conditions, “Your Content” shall mean any audio, video text, images or other material you choose to display on this Website. By displaying Your Content, you grant Buckle LLC a non-exclusive, worldwide irrevocable, sub licensable license to use, reproduce, adapt, publish, translate and distribute it in any and all media.

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.

  1. No warranties

This Website is provided “as is,” with all faults, and Buckle LLC express no representations or warranties, of any kind related to this Website or the materials contained on this Website. Also, nothing contained on this Website shall be interpreted as advising you.

  1. Limitation of liability

In no event shall Buckle LLC, nor any of its officers, directors and employees, shall be held liable for anything arising out of or in any way connected with your use of this website whether such liability is under contract. Buckle LLC, including its officers, directors and employees shall not be held liable for any indirect, consequential or special liability arising out of or in any way related to your use of this Website.

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If any provision of these Terms is found to be invalid under any applicable law, such provisions shall be deleted without affecting the remaining provisions herein.

  1. Variation of Terms

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  1. Governing Law & Jurisdiction

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