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Member Directory

Please note that we make these links available as a convenience to our users, and are for informational purposes only. When you select the following links, you are leaving the OCC website. OCC does not control, nor has it developed or reviewed, the content of those sites, and does not make any warranty, express or implied, as to the accuracy, usefulness, timeliness or even the continued availability or existence of information created or maintained by others. Opinions expressed on other websites are not necessarily those of OCC, nor does OCC endorse, warrant, or guarantee products, services or information described or offered on other sites. Options involve risk and are not suitable for all investors. 

If you are running an automated process for this report, use this link for the Member Directory.

Last updated September 21, 2020.

Firm # Firm Name
Equity Options
Index Options
Stock Loan Participant
Single Stock Futures
Commodity Options & Futures Listed on CFE, SML
Extended Trading Hours
001 ADM Investor Services, Inc.        
005 Goldman Sachs & Co. LLC    
007 X-Change Financial Access, LLC        
008 ABN AMRO Clearing Chicago LLC      
009 Goldman Sachs & Co. LLC            
010 Goldman Sachs & Co. LLC    
013 Sanford C. Bernstein & Co., LLC        
015 Morgan Stanley Smith Barney LLC        
017 Interactive Brokers LLC      
019 Jefferies LLC      
020 Jefferies LLC        
028 Canaccord Genuity Corp.            
031 Natixis Securities Americas LLC      
033 Canaccord Genuity Corp.        
036 Jump Trading, LLC        
038 RBC Capital Markets, LLC          
043 Mirae Asset Securities (USA), Inc.      
045 BMO Capital Markets Corp.      
050 Morgan Stanley & Co. LLC    
052 Axos Clearing LLC      
053 BNP Paribas Securities Corp.          
062 Vanguard Marketing Corporation      
067 Instinet, LLC        
073 Electronic Transaction Clearing, Inc.        
075 LPL Financial LLC        
076 MUFG Securities Americas Inc.      
079 Advantage Futures LLC        
080 National Bank Financial Inc.      
082 R.J. O'Brien & Associates, LLC        
084 Questrade Inc.      
089 Mizuho Securities USA LLC      
094 Deutsche Bank Securities, Inc.        
099 Virtu Americas, LLC          
103 Wedbush Securities Inc.      
104 Mizuho Securities USA LLC        
108 Wedbush Securities Inc.      
111 Apex Clearing Corporation        
124 Ingalls & Snyder LLC        
132 Clear Street LLC          
141 Wells Fargo Clearing Services, LLC      
148 ICAP Corporates LLC          
158 Apex Clearing Corporation      
159 INTL FCStone Financial Inc.        
161 BofA Securities, Inc.    
164 Charles Schwab & Co., Inc.      
167 Phillip Capital Inc.        
180 Nomura Securities International, In      
181 Nomura Securities International, Inc.            
186 Scotia Capital Inc.      
198 RBC Dominion Securities Inc.      
200 Goldman Sachs & Co. LLC      
209 BMO Nesbitt Burns, Inc.      
212 Scotia Capital (USA) Inc.      
221 UBS Financial Services Inc.      
226 National Financial Services LLC    
228 BBS Securities Inc.        
229 Lek Securities Corporation        
230 BNP Paribas Securities Corp.    
233 Volant Execution, LLC        
235 RBC Capital Markets, LLC    
240 Wedbush Securities Inc.          
244 BofA Securities, Inc.      
245 BofA Securities, Inc.      
250 Wells Fargo Securities, LLC    
255 Barclays Capital Inc.  
258 BofA Securiites, Inc.        
270 ING Financial Markets LLC          
271 TradeStation Securities, Inc.      
272 Futu Clearing Inc.        
273 Barclays Capital Inc.      
275 BofA Securities, Inc.      
279 Hilltop Securities Inc.      
284 TD Prime Services LLC    
286 SG Americas Securities, LLC    
289 Credit Suisse Securities (USA) LLC        
295 Virtu Americas LLC      
297 Virtu Americas LLC        
299 BofA Securities, Inc.        
323 HSBC Securities (USA) Inc.        
333 Dash Financial Technologies LLC        
339 INTL FCStone Financial Inc.      
340 Wedbush Securities Inc.        
352 J.P. Morgan Securities LLC    
353 National Bank of Canada Financial Inc.      
355 Credit Suisse Securities (USA) LLC    
359 Curvature Securities LLC          
363 Wells Fargo Securities, LLC        
364 E D & F Man Capital Markets Inc.        
365 Wolverine Execution Services, LLC        
369 Merrill Lynch, Pierce, Fenner & Smith Inc.        
370 Tradition Securities and Derivatives Inc.        
374 Janney Montgomery Scott LLC      
381 BNP Paribas Securities Corp.        
385 E*TRADE Securities LLC      
388 Industrial and Commercial Bank of China Financial Services LLC      
395 Citadel Clearing LLC          
396 ABN AMRO Clearing Chicago LLC      
406 INTL FCStone Financial Inc.        
407 Straits Financial LLC        
411 Citigroup Global Markets, Inc.      
413 Amherst Pierpont Securities LLC            
418 Citigroup Global Markets Inc.          
424 Velocity Capital LLC      
425 NatWest Markets Securities Inc.      
431 Citadel Securities LLC          
436 Archipelago Securities, L.L.C.        
438 CIBC World Markets Corp.      
443 Pershing LLC      
444 Goldman Sachs & Co. LLC      
445 Muriel Siebert & Co., Inc.      
457 Safra Securities LLC        
460 Phillip Capital Inc.          
477 Timber Hill LLC    
488 Industrial and Commercial Bank of China Financial Services LLC        
497 Goldman Sachs & Co. LLC        
503 CIBC World Markets Inc.      
505 Citigroup Global Markets Inc.    
512 Lek Securities Corporation      
513 Apex Clearing Corporation      
515 Ziv Investment Company        
519 Merrill Lynch Professional Clearing Corp.      
520 Nasdaq Execution Services, LLC        
534 Interactive Brokers LLC    
540 Merrill Lynch Professional Clearing Corp.      
541 ABN AMRO Clearing Chicago LLC      
544 Broadridge Business Process Outsourcing, LLC            
547 Robert W. Baird & Co. Incorporated      
551 Merrill Lynch Professional Clearing Corp.      
552 Merrill Lynch Professional Clearing Corp.      
555 E D & F Man Capital Markets Inc.    
556 E D & F Man Capital Markets Inc.      
567 ABN AMRO Clearing Chicago LLC        
571 Oppenheimer & Co. Inc.        
573 Deutsche Bank Securities Inc.    
576 Barclays Capital Inc.    
577 Cowen and Company, LLC      
578 Cowen and Company, LLC          
586 Deutsche Bank Securities Inc.      
595 Vision Financial Markets LLC      
598 Merrill Lynch Professional Clearing Corp.        
602 Morgan Stanley & Co. LLC        
608 SG Americas Securities, LLC    
615 TD Waterhouse Canada Inc.      
641 UBS Securities LLC        
642 UBS Securities LLC    
643 Interactive Brokers LLC        
647 Daiwa Capital Markets America Inc.      
659 SG Americas Securities, LLC      
661 J.P. Morgan Securities LLC        
671 Merrill Lynch, Pierce, Fenner & Smith Inc.        
674 Lakeshore Securities, L.P.        
694 CF Secured, LLC        
695 ABN AMRO Clearing Chicago LLC    
696 Cantor Fitzgerald & Co.      
702 BB&T Securities, LLC        
704 Barclays Capital Inc.        
712 Barclays Capital Inc.        
715 Davenport & Company LLC        
724 Raymond James & Associates, Inc.        
725 Raymond James & Associates, Inc.        
742 UBS Securities LLC    
747 Citigroup Global Markets Inc.        
750 Goldman Sachs & Co. LLC        
756 American Enterprise Investment Services, Inc.      
761 SG Americas Securities, LLC        
762 SG Americas Securities, LLC        
769 Robinhood Securities, LLC      
777 TD Ameritrade Clearing, Inc.      
778 TD Ameritrade Clearing, Inc.        
792 BofA Securities, Inc.      
793 Stifel, Nicolaus & Company, Incorporated      
794 CF Secured, LLC      
795 RBC Capital Markets, LLC        
799 B. Riley FBR Inc.          
805 Citigroup Global Markets Inc.          
810 Goldman Sachs & Co. LLC      
813 ABN AMRO Clearing Chicago LLC      
816 HSBC Securities (USA) Inc.      
830 Goldman Sachs & Co. LLC          
840 Goldman Sachs & Co. LLC        
842 UBS Securities LLC        
850 Morgan Stanley & Co. LLC          
864 E D & F Man Capital Markets Inc.      
879 E D & F Man Capital Markets Inc.          

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