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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 October 26, 2020.

Firm # Firm Name
Equity Options
Index Options
Stock Loan Participant
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 StoneX Financial Inc.      
161 BofA Securities, Inc.  
164 Charles Schwab & Co., Inc.    
167 Phillip Capital Inc.      
180 Nomura Securities International, Inc.    
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 StoneX 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    
400 Marex North America LLC        
406 StoneX Financial Inc.      
407 Straits Financial LLC      
411 Citigroup Global Markets, Inc.    
413 Amherst Pierpont Securities LLC          
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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