OCC Membership Directory - The Options Clearing Corporation

0114 

DIRECTORY

DIRECTORY 

January 6, 2014

Table of Contents 

U.S. and Non-U.S. Clearing Members 2 

Alphabetic 

U.S. and Non-U.S. Clearing Members 18 

Numeric 

Clearing Banks 26 

Approved Depository 27 

Correspondent Clearing Corporation 27 

Letter of Credit Banks 28 

U.S. Institutions 

Letter of Credit Banks 29 

Non-U.S. Institutions 

Escrow Deposit Banks 30 

Government Delivery Banks 31 

Canadian Government Depository Bank 32 

Administration 33 

Contacts 37 

Offices 39 

Participant Exchanges 40 

Futures Markets 42 

Alternate Trading Systems 43 

For additional copies of this Directory, please write or call: 

OCC 

Member Services 

One North Wacker Drive, Suite 500 

Chicago, Illinois 60606 

(800) 621-6072 

1

OCC Clearing Members 

Alphabetic 

Clearing Members are approved to clear the following products as 

of January 6, 2014. All information herein is subject to change. 

A. Equity Options D. Single Stock Futures 

B. Index Options E. Commodity Options and 

Futures (CFE, ELX, NFX) 

C. Stock Loan Participants F. NYL Futures 

G. Treasury Options 

Member 

Number 

Approval 

Codes 

A 

ABN AMRO Clearing Chicago LLC 695 A B C D 

175 West Jackson Boulevard 

Suite 400 


(312) 604-8110 

OCC/ICE Cross-Margin Account 829 B 

OCC/CME Cross-Margin Account 813 B 

OCC Cross-Margin Account 008 B E 

ABN AMRO Clearing Chicago LLC 541 A B C D 

ABN AMRO Clearing Chicago LLC 567 D E 

ABN AMRO Clearing Chicago LLC 396 A B D 

ABN AMRO Clearing Chicago LLC 330 A B D 

ABN AMRO Clearing Chicago LLC 277 F 

ABN AMRO Securities (USA) LLC 349 C 

100 Park Avenue 

New York, New York 10017 

(917) 284-6704 

ADM Investor Services, Inc. 

509 D E 


Suite 1600-A 


(312) 242-7000 

ADM Investor Services, Inc. 001 F 

Advantage Futures, LLC 079 E 

231 South LaSalle Street 

Suite 1400 


(312) 800-7000 

Advantage Futures, LLC 737 F 

Albert Fried & Company, LLC 284 A B C 

45 Broadway, 24th Floor 


(212) 422-7282 

2

American Enterprise 756 A B C 

Investment Services, Inc. 

655 Ameriprise Center 

Minneapolis, Minnesota 55474 

(612) 671-7229 

Apex Clearing Corporation 543 A B C D 

1700 Pacific Avenue, Suite 1400 

Dallas, Texas 75201 

(516) 472-5200 

Apex Clearing Corporation 111 A B D 

Apex Clearing Corporation 158 A B C D 

Apex Clearing Corporation 513 A B 

Archipelago Securities, L.L.C. 436 A B 

100 South Wacker Drive, Suite 1800 


(312) 960-1696 

Automated Trading 411 A B G 

Desk Financial Services, LLC 

11 EWall Street 

Mt. Pleasant, South Carolina 29464 

(843) 789-2113 

B 

Banca IMI Securities Corp. 136 C 

1 William Street, 9th Floor 


(212) 326-1100 

Barclays Capital Inc. 576 A B C D 

200 Park Avenue 


(212) 412-4000 

Barclays Capital Inc. 255 A B C D 

Barclays Capital Inc. 704 D E 

Barclays Capital Inc. 273 A B D 

Barclays Capital Inc. 706 F 

Barclays Capital Inc. 711 E 

Barclays Capital Inc. 709 D 


BB&T Securities, LLC 702 A B 

8006 Discovery Drive, Suite 200 

Richmond, Virginia 23229 

(804) 253-6400 

Bloomberg Tradebook LLC 

731 Lexington Avenue 


(212) 617-3917 

703 A B 

3

OCC Clearing Members - Alphabetic 

BMO Capital Markets Corp. 045 A B C 

3 Second Street Plaza, 10-12th Floor 

Jersey City, New Jersey 07302 

(212) 885-4000 


BMO Nesbitt Burns, Inc.** 209 A B D 

First Canadian Place 

100 King Street West PO 150 

Toronto, Ontario M5X 1H3 

(416) 359-4000 

BNP Paribas Prime Brokerage, Inc. 230 A B C 

525 Washington Boulevard, 9th Floor 


(646) 733-4074 

BNP Paribas Securities Corp. 656 A B C D 

525 Washington Boulevard, 9th Floor 


(610) 491-1400 

BNP Paribas Securities Corp. 381 D E 

BNP Paribas Securities Corp. 382 F 


BNY Mellon Clearing, LLC 102 F 

1 Wall Street 42 F 


(212) 635-6429 

BNY Mellon Clearing, LLC 121 E 

Broadridge Business Process 

Outsourcing, LLC 

1981 Marcus Avenue 

Lake Success, NY 11042 

(516) 472-5400 

C 

544 A B 

C.L. King & Associates, Inc. 743 A B C 

9 Elk Street 

Albany, New York 12207 

(518) 431-3539 

Canaccord Genuity Corp.** 033 A B 

609 Granville Street, Suite 2200 

Vancouver, British Columbia V7Y 1H2 

Canada 

(604) 643-7300 

Canaccord Genuity Corp. ** 026 A B 

Cantor Fitzgerald & Co. 696 A B C 

110 East 59th Street 


(212) 610-2440 

Cantor Fitzgerald & Co. 115 E 

**Indicates Non-U.S. Clearing Member 

4

Charles Schwab & Co., Inc. 164 A B C D 

4750 East Francisco Drive 

Phoenix, Arizona 85044 

(877) 903-7552 

CIBC World Markets Corp. 438 A B C D 

425 Lexington Avenue, 5th Floor 


(212) 667-7000 


CIBC World Markets Inc.** 503 A B D 

22 Front Street, 5th Floor 

Toronto, Ontario M5J 2W5 

Canada 

(416) 594-7000 

Citadel Securities LLC 395 A B C 

131 South Dearborn Street, 3rd Floor 


(312) 395-2100 


Citigroup Global Markets Inc. 

418 A B C D G 

388 Greenwich Street 


(813) 604-6485 

Citigroup Global Markets Inc. 

747 D E 

Citigroup Global Markets Inc. 371 F 


Compass Professional Services, LLC 233 A B 


20th Floor 


(312) 692-5000 

COR Clearing LLC 052 A B D 

9300 Underwood Avenue, Suite 400 

Omaha, Nebraska 68114 

(402) 384-6100 

Cowen Equity Finance LP 580 A C D 

599 Lexington Avenue 


(646) 562-1480 

Credit Agricole Securities (USA) Inc. 651 A B C D 

194 Wood Avenue South, 7th Floor 

Iselin, New Jersey 08830 

(732) 590-7424 


5


Credit Suisse Securities (USA) LLC 355 A B C D 

11 Madison Avenue, 2nd Floor 


(212) 325-2000 

Credit Suisse Securities (USA) LLC 289 D E 

Credit Suisse Securities (USA) LLC 173 F 

Credit Suisse Securities (USA) LLC 106 E 

CSS, LLC 670 A B 


Suite 440 


(312) 542-8510 

D 

Daiwa Capital Markets America Inc. 647 A B C D 

Financial Square 

32 Old Slip 

New York, New York 10005-3538 

(212) 612-7000 

Deutsche Bank Securities Inc. 573 A B C D 

5022 Gate Parkway South 

Building 500 

Jacksonville, Florida 32246 

(904) 520-5340 

Deutsche Bank Securities Inc. 094 D E 

Deutsche Bank Securities Inc. 092 F 

Deutsche Bank Securities Inc. 586 A B 

Dorman Trading, LLC 150 F 


Suite 1900 


(312) 341-7894 

Dorman Trading, LLC 152 E 

E 

E D & F Capital Markets Inc. 364 E 

440 South LaSalle Street, Suite 1850 


(312) 300-5007 

E * TRADE Clearing LLC 385 A B C D 

Harborside Financial Center 

501 Plaza 2 


(201) 499-9900 

6

Electronic Brokerage Systems, LLC 333 A B D 

180 West Adams, 6th Floor 


(312) 986-6250 

F 

FCStone, LLC 406 E 



(312) 780-6700 

FCStone, LLC 159 E 

FCStone, LLC 160 F 

FCStone, LLC 405 F 

First Clearing, LLC 141 A B C D 

One North Jefferson Avenue 

St. Louis, Missouri 63103 

(314) 995-3000 

First Southwest Company 309 A B C D 

325 North St. Paul Street, Suite 800 

Dallas, Texas 75201 

(214) 953-4000 

G 

Goldman, Sachs & Co. 005 A B C D 

30 Hudson Street 


(212) 902-1000 

Goldman, Sachs & Co. 497 D E 

Goldman, Sachs & Co. 350 F 

Goldman Sachs Execution 501 A B C D G 

& Clearing, L.P. 

222 South Maine Street 

Salt Lake City, Utah 84111 

(312) 362-3768 

Goldman Sachs Execution 009 A B C D 


Goldman Sachs Execution 

572 A B D 





Goldman Sachs Execution 741 D E 


Goldman Sachs Execution 815 F 


Goldman Sachs Execution 105 A B G 


7


H 

HSBC Securities (USA) Inc. 816 A B 

One West 39th Street 


(212) 525-5000 

I 

Industrial and Commercial Bank 388 A B C 

of China Financial Services LLC 



(212) 993-7300 

ING Financial Markets LLC 270 C 

1325 6th Avenue, 12th Floor 


(646) 424-6000 

Ingalls & Snyder LLC 124 A B D 

61 Broadway 


(212) 269-7800 

Instinet, LLC 067 A B 

1095 Avenue of the Americas, 3rd Floor 


(212) 310-4879 

Interactive Brokers LLC 017 A B C D 

8 Greenwich Office Park 

Greenwich, Connecticut 06831 

(203) 618-5800 

Interactive Brokers LLC 534 A B C D 

Interactive Brokers LLC 535 F 

Interactive Brokers LLC 643 D E 

ITG Inc. 099 C 

One Liberty Place 



(212) 588-4000 

J 

J.J.B. Hilliard, W.L. Lyons, LLC 768 A B D 

500 West Jefferson Street 

Louisville, Kentucky 40202 

(502) 588-8400 

J.P. Morgan Clearing Corp. 352 A B C G 

3 Chase Metrotech Center, 3rd Floor 

Brooklyn, New York 11245-0001 

(347) 643-1000 

8

J.P. Morgan Securities LLC 661 D E 

10 South Dearborn Street, 5th Floor 


(312) 325-6257 

J.P. Morgan Securities LLC 060 A B D 

J.P. Morgan Securities LLC 660 F 

Janney Montgomery Scott LLC 374 A B C D 

1717 Arch Street, 16th Floor 

Philadelphia, Pennsylvania 19103 

(215) 665-6000 

Jefferies LLC 019 A B C D 

101Hudson Street, 11th Floor 


(212) 336-7000 

Jefferies Bache, LLC 072 D E 

One New York Plaza, 13th Floor 


(800) 643-2902 

Jefferies Bache, LLC 090 F 

Jump Trading, LLC 035 F 

600 West Chicago Avenue, Suite 825 


(312) 205-8900 

Jump Trading, LLC 036 E 

K 

KCG Americas LLC 295 A B C G 

545 Washington Boulevard 


(201) 222-9400 

KCG Americas LLC 340 E 

KCG Americas LLC 240 D 



KCG Americas LLC 140 F 

KCG Americas LLC 077 E 

KCG Americas LLC 078 F 

L 

Lakeshore Securities, L.P. 674 A B D 



(312) 663-1307 

Lazard Capital Markets LLC 308 C 

30 Rockefeller Plaza, 19th Floor 


(212) 632-6000 

9


Lek Securities Corporation 512 A B C D 

165 Broadway, 52nd Floor 


(212) 509-2300 

Lek Securities Corporation 229 A B D 

LiquidPoint, LLC 577 A B 

311 South Wacker Drive 


(312) 986-2006 

LPL Financial LLC 075 A B D 

9785 Towne Centre Drive 

San Diego, California 92121-1968 

(858) 450-9606 

M 

Maple Securities U.S.A. Inc. 269 A B C D 

10 Exchange Place, Suite 2600 


(201) 369-3000 

Merrill Lynch, Pierce, Fenner 161 A B C D G 

& Smith Inc. 

200 North College Avenue 

Charlotte, North Carolina 28255 

(980) 388-3304 

Merrill Lynch, Pierce, Fenner 275 A B C 

& Smith Inc. 

Merrill Lynch, Pierce, Fenner 299 D E 

& Smith Inc. 

Merrill Lynch, Pierce, Fenner 560 F 

& Smith Inc. 

Merrill Lynch, Pierce, Fenner 792 A B D G 

& Smith Inc. 

Merrill Lynch, Pierce, Fenner 245 A B 

& Smith Inc. 

Merrill Lynch Professional 551 A B C D G 

Clearing Corp. 

200 North College Avenue 

Charlotte, North Carolina 28255 

(980) 388-3304 


Merrill Lynch Professional 

540 A B D 


Merrill Lynch Professional 552 A B D 


Merrill Lynch Professional 575 A B D 




10

Mesirow Financial, Inc. 727 A B 

353 North Clark Street 


(312) 595-6000 

Mitsubishi UFJ Securities (USA) Inc. 076 A B C 



(212) 405-7401 

Mizuho Securities USA Inc. 089 A B C 

320 Park Avenue, 12th Floor 

New York City, New York 10022 

(212) 209-9300 

Morgan Stanley & Co. LLC 050 A B D 

1 New York Plaza 


(212) 761-4000 

Morgan Stanley & Co. LLC 278 F 

Morgan Stanley & Co. LLC 602 D E 

Morgan Stanley & Co. LLC 490 C 

Morgan Stanley Smith Barney LLC 015 A B C 

1 New York Plaza, 7th Floor 


(212) 761-4000 

N 

NASDAQ Options Services, LLC 520 A B 

165 Broadway 


(212) 401-8700 

National Financial Services LLC 226 A B C D 

Newport Office Center 3 

499 Washington Boulevard NJ4C 


(866) 755-6372 

Natixis Securities Americas LLC 031 A B C D 

1251 Avenue of the Americas 


(212) 698-3000 

NBCN Inc. 

1155 Metcalfe, 19th Floor 

Montreal, Quebec H3B 5G2 

(514) 390-7478 

080 A B C D 

11


Newedge USA, LLC 722 A B C D 


Suite 500 


(312) 441-4200 

Newedge USA, LLC 761 E 

Newedge USA, LLC 762 D E 

Newedge USA, LLC 719 A B D 

Newedge USA, LLC 672 A B D 

Newedge USA, LLC 608 A B C D 

Newedge USA, LLC 659 A B 

Newedge USA, LLC 718 F 

Nomura Securities International, Inc. 180 A B C D 

Worldwide Plaza 

309 West 49th Street 


(212) 667-9300 

Nomura Securities International, Inc. 181 D 


O 

Oppenheimer & Co. Inc. 571 A B C D 

85 Broad Street, 4th Floor 


(212) 668-8000 

optionsXpress, Inc. 338 A B C D 

311 West Monroe Street, Suite 1000 


(312) 630-3300 

P 

Pershing LLC 443 A B C D G 

1 Pershing Plaza 


(201) 413-2000 

Phillip Futures Inc. 167 E 


Suite 3050 


(312) 356-9000 

Phillip Futures Inc. 168 F 

Piper Jaffray & Co. 311 A B D 

800 Nicollet Mall 

Suite 800 

Minneapolis, Minnesota 55402 

(800) 333-6000 

12

R 

R.J. O’Brien & Associates, LLC 082 E 

222 South Riverside Plaza, Suite 900 


(312) 373-5000 

R.J. O’Brien & Associates, LLC 083 D 

R.J. O’Brien & Associates, LLC 685 F 

Raymond James & Associates, Inc. 725 A B D 

The Raymond James Financial Center 

880 Carillon Parkway 

St. Petersburg, Florida 33716 

(727) 573-3800 

RBC Capital Markets, LLC 235 A B C D 

3 World Financial Center 

200 Vesey Street, 5th Floor 


(212) 858-7000 

RBC Capital Markets, LLC 795 D E 

RBC Capital Markets, LLC 796 F 


RBC Dominion Securities Inc.** 198 A B D 

Royal Bank Plaza 

P.O. Box 50 

Toronto, Ontario M5J 2W7 

Canada 

(416) 842-2000 

RBS Securities Inc. 425 A B C 


Suite 1700 


(312) 664-5060 

RBS Securities Inc. 128 E 

RCap Securities, Inc. 166 C 

1211 Avenue of the Americas 

Suite 2902 


(646) 829-0141 

Robert W. Baird & Co. Incorporated 547 A B C D 

777 East Wisconsin Avenue 

Milwaukee, Wisconsin 53202 

(414) 765-3500 

Rosenthal Collins Group, LLC 800 F 


Suite 400 


(312) 460-9200 

Rosenthal Collins Group, LLC 801 E 


13


S 

Sanford C. Bernstein & Co., LLC 013 A B D 

One North Lexington Avenue 

White Plains, New York 10601 

(914) 993-2300 

Scotia Capital Inc.** 186 A B D 

44 King Street, 14th Floor 

Toronto, Ontario M5H 1H1 

Canada 

(416) 863-7411 

Scottrade, Inc. 705 A B D 

500 Maryville University Drive 

St. Louis, MO 63141 

(314) 965-1555 

SG Americas Securities, LLC 286 A B C D 

480 Washington Boulevard, 21st Floor 


(212) 278-6000 

Southwest Securities, Inc. 279 A B C D 

The Renaissance Tower 

1201 Elm Street, Suite 3500 

Dallas, Texas 75270-2180 

(214) 651-1800 

Southwest Securities, Inc. 581 A B C D 

Stephens Inc. 419 A B D 

111 Center Street 

Little Rock, Arkansas 72201 

(501) 377-2000 

Stifel Nicolaus & Company 793 A B D 

Incorporated 

501 North Broadway 


(314) 342-2000 

StockCross Financial Services, Inc. 445 A B C D 

77 Summer Street 

Boston, Massachusetts 02110-1006 

(617) 367-5700 

T 

TD Ameritrade Clearing, Inc. 777 A B C D 

200 South 108th Avenue 

Omaha, Nebraska 68154 

(402) 331-2744 

TD Ameritrade Clearing, Inc. 778 A B 


14

TD Waterhouse Canada Inc.** 615 A B D 

77 Bloor Street West, 10th Floor 

Toronto Dominion Centre 

Toronto, Ontario M4Y T21 

Canada 

(416) 413-3055 

Timber Hill LLC 549 A B C D E 

8 Greenwich Office Park 

Greenwich, Connecticut 06831 

(203) 618-5800 


Timber Hill LLC 477 A B C D E 

Timber Hill LLC 550 F 

TradeStation Securities, Inc. 271 A B C 

8050 Southwest 10th Street 

Suite 2000 

Plantation, Florida 33324 

(954) 652-7000 

U 

UBS Financial Services Inc. 221 A B C D 


Stamford, Connecticut 06901 

(203) 719-3000 

UBS Securities LLC 642 A B C D 



(203) 719-3000 

UBS Securities LLC 641 D E 

UBS Securities LLC 640 F 

UBS Securities LLC 742 A B 

USAA Investment 367 A B D 

Management Company 

9800 Fredericksburg Road 

San Antonio, Texas 78288 

(210) 756-7579 


15


V 

Vanguard Marketing Corporation 062 A B C 

100 Vanguard Boulevard 

Malvern, Pennsylvania 19355 

(877) 662-7447 

Virtu Financial BD LLC 063 C 

645 Madison Avenue, 16th Floor 


(212) 418-0100 

Virtu Financial Capital Markets LLC 749 A B C 

1540 2nd Street, Suite 300 

Santa Monica, California 90401 

(310) 651-9740 

Vision Financial Markets, LLC 595 A B C 

4 High Ridge Park, Suite 100 


(203) 388-2700 

Vision Financial Markets, LLC 506 D E 

Vision Financial Markets, LLC 276 F 

W 

Wedbush Securities Inc. 103 A B C D 

P.O. Box 30014 

Los Angeles, California 90030 

(213) 688-8000 

Wells Fargo Advisors, LLC 733 A B 

1 North Jefferson Avenue 


(314) 875-8907 

Wells Fargo Securities, LLC 

640 5th Avenue 


(704) 410-8203 

250 A B C 

William Blair & Company, L.L.C. 771 A B D 

222 West Adams Street 


(312) 236-1600 

Wolverine Execution Services, LLC 

175 W. Jackson Boulevard, Suite 2000 


(312) 884-4000 

365 A B 

16

X 

X-Change Financial Access, LLC 007 A B 



(312) 235-0320 

Z 

Ziv Investment Company 515 A B D 


Suite 2095 


(312) 427-7208 

17

OCC Clearing Members 

Numeric 

001 ADM Investor Services, Inc. 

005 Goldman Sachs & Co. 

007 X-Change Financial Access, LLC 

008 ABN AMRO Clearing Chicago LLC 

OCC Cross-Margin Account 

009 Goldman Sachs Execution & Clearing, L.P. 

013 Sanford C. Bernstein & Co., LLC 

015 Morgan Stanley Smith Barney LLC 

017 Interactive Brokers Group 

019 Jefferies LLC 

028 Canaccord Genuity Corp. 

031 Natixis Securities Americas LLC 

033 Canaccord Genuity Corp.** 

035 Jump Trading, LLC 

036 Jump Trading, LLC 

038 RBC Capital Markets, LLC 

OCC/CME Cross-Margin Account 

045 BMO Capital Markets Corp. 

050 Morgan Stanley & Co. LLC 

052 COR Clearing LLC 

053 BNP Paribas Securities Corp. 


060 J.P. Morgan Securities LLC 

062 Vanguard Marketing Corporation 

063 Virtu Financial BD LLC 

067 Instinet, LLC 

072 Jefferies Bache, LLC 

075 LPL Financial LLC 

076 Mitsubishi UFJ Securities (USA) Inc. 

077 KCG Americas LLC 


079 Advantage Futures, LLC 

** Indicates Non-U.S. Clearing Member 

18

080 NBCN Inc.** 

082 R.J. O’Brien & Associates, LLC 


089 Mizuho Securities USA Inc. 

090 Jefferies Bache, LLC 

092 Deutsche Bank Securities Inc. 


099 ITG, Inc. 

102 BNY Mellon Clearing, LLC 

103 Wedbush Securities Inc. 


106 Credit Suisse Securities (USA) LLC 

111 Apex Clearing Corporation 

115 Cantor Fitzgerald & Co. 

121 BNY Mellon Clearing, LLC 

124 Ingalls & Snyder LLC 

128 RBS Securities Inc. 

136 Banca IMI Securities Corp. 


141 First Clearing, LLC 

150 Dorman Trading, LLC 

152 Dorman Trading, LLC 


159 FCStone, LLC 


161 Merrill Lynch, Pierce, Fenner & Smith Inc. 

164 Charles Schwab & Co., Inc. 

166 RCap Securities, Inc. 

167 Phillip Futures Inc. 

168 Phillip Futures Inc. 



19

OCC Clearing Members – Numeric 

180 Nomura Securities International, Inc. 


186 Scotia Capital Inc.** 

198 RBC Dominion Securities Inc.** 

209 BMO Nesbitt Burns, Inc.** 

221 UBS Financial Services Inc. 

226 National Financial Services LLC 

229 Lek Securities Corporation 

230 BNP Paribas Prime Brokerage, Inc. 

233 Compass Professional Services, LLC 




250 Wells Fargo Securities, LLC 

255 Barclays Capital Inc. 

269 Maple Securities U.S.A. Inc. 

270 ING Financial Markets LLC 

271 TradeStation Securities, Inc. 


275 Merrill Lynch, Pierre, Fennel, & Smith Inc. 

276 Vision Financial Markets LLC 



279 Southwest Securities, Inc. 

284 Albert Fried & Company, LLC 

286 SG Americas Securities, LLC 







20

308 Lazard Capital Markets LLC 

309 First Southwest Company 

311 Piper Jaffray & Co. 


333 Electronic Brokerage Systems, LLC 

338 optionsXpress, Inc. 


349 ABN AMRO Securities (USA) LLC 

350 Goldman Sachs & Co. 

352 J.P. Morgan Clearing Corp. 


364 E D & F Man Capital Markets Inc. 

365 Wolverine Execution Services, LLC 

367 USAA Investment Management Company 

371 Citigroup Global Markets Inc. 

374 Janney Montgomery Scott LLC 



385 E * TRADE Clearing LLC 

388 Industrial Commercial Bank of China Financial 

Services LLC 

395 Citadel Securities LLC 




411 Automated Trading Desk Financial Services, LLC 


419 Stephens Inc. 

425 RBS Securities Inc. 

436 Archipelago Securities, L.L.C. 

438 CIBC World Markets Corp. 

21


443 Pershing LLC 

445 StockCross Financial Services, Inc. 

477 Timber Hill LLC 


497 Goldman, Sachs & Co. 


503 CIBC World Markets Inc.** 


509 ADM Investor Services, Inc. 

512 Lek Securities Corporation 


515 Ziv Investment Company 

519 Merrill Lynch Professional Clearing Corp. 


520 NASDAQ Options Services, LLC 

534 Interactive Brokers LLC 





544 Broadridge Business Process Outsourcing, LLC 

547 Robert W. Baird & Co. Incorporated 





560 Merrill Lynch, Pierce, Fenner and Smith, Inc. 


571 Oppenheimer & Co. Inc. 



** Indicates Non-U.S. Clearing Member 

22



577 LiquidPoint, LLC 

580 Cowen Equity Finance LP 

581 Southwest Securities, Inc. 





602 Morgan Stanley & Co. Incorporated 

608 Newedge USA, LLC 



615 TD Waterhouse Canada Inc.** 

640 UBS Securities LLC 




647 Daiwa Capital Markets America Inc. 

651 Credit Agricole Securities (USA) Inc. 



660 J.P. Morgan Securities Inc. 

661 J.P. Morgan Securities Inc. 

670 CSS, LLC 


674 Lakeshore Securities, L.P. 



696 Cantor Fitzgerald & Co. 

702 BB&T Securities, LLC 

703 Bloomberg TradeBook LLC 


23



705 Scottrade, Inc. 









725 Raymond James & Associates, Inc. 

727 Mesirow Financial, Inc. 

733 Wells Fargo Advisors, LLC 

737 Advantage Futures, LLC 



743 C.L. King & Associates, Inc. 


749 Virtu Financial Capital Markets LLC 

756 American Enterprise Investment Services, Inc. 



768 J.J.B. Hilliard, W.L. Lyons, LLC 

771 William Blair & Company, L.L.C. 

777 TD Ameritrade Clearing, Inc. 

778 TD Ameritrade Clearing, Inc. 


793 Stifel Nicolaus & Company Incorporated 



800 Rosenthal Collins Group, LLC 

24

801 Rosenthal Collins Group, LLC 






816 HSBC Securities (USA) Inc. 




OCC/ICE Cross-Margin Account 

831 CIBC World Markets Corp. 








875 BMO Capital Markets Corp. 


880 Citadel Securities LLC 




25

OCC USD Clearing Banks 

Bank of America, National Association 

Bank of Montreal 

Bank of New York Mellon 

BMO Harris Bank, National Association 

Brown Brothers Harriman and Co. 

Citibank, N.A. 

JPMorgan Chase Bank, National Association 

PNC Bank, National Association 

U.S. Bank National Association 

OCC EUR Clearing Banks 


Brown Brothers Harriman and Co. 

JPMorgan Chase Bank, London 

26

OCC Approved Depository 

The Depository Trust Company 

55 Water Street 


(212) 855-1000 

Correspondent Clearing Corporation 

National Securities Clearing Corporation 

55 Water Street 


(212) 412-8400 

27

OCC Letter of Credit Banks 

U.S. Institutions 





Comerica Bank 

Commerce Bank 

Deutsche Bank Trust Company Americas 

HSBC Bank USA, National Association 


Northern Trust Company 


State Street Bank and Trust Company 


Union Bank, National Association 

Wells Fargo Bank, National Association 

28

OCC Letter of Credit Banks 

Non-U.S. Institutions 

ABN AMRO Bank NV 

Australia and New Zealand Banking Group Limited 


Credit Suisse AG Credit Suisse 

Deutsche Bank AG 

DNB Bank ASA 

Landesbank Hessen-Thüringen Girozentrale 

Lloyds Bank Plc 

National Australia Bank Limited 

Royal Bank of Canada 

Standard Chartered Plc 

Svenska Handelsbanken AB 

Unicredit Bank AG 

29

OCC Escrow Deposit Banks 





Comerica Bank 

Fifth Third Bank 


KeyBank National Association 

Northern Trust Company 


State Street Bank and Trust Company 

SunTrust Bank 


Union Bank, National Association 

Wells Fargo Bank, National Association 

30

OCC Government Delivery Banks 




31

OCC Canadian Government 

Depository Bank 


32

OCC Administration 

Craig S. Donohue 

Executive Chairman 

(312) 322-6222 

Michael E. Cahill 

President, Chief Executive Officer and Treasurer 

(312) 322-2069 

Michael W. McClain 

Executive Vice President and Chief Operating Officer 

(817) 562-3592 

James E. Brown 

Executive Vice President, General Counsel and Secretary 

(312) 322-1817 

Michael A. Walinskas 

Executive Vice President and Chief Risk Officer 

(312) 322-4451 

Jean M. Cawley 

Senior Vice President and Deputy General Counsel 

(312) 322-6269 

John J. Fennell 

Senior Vice President, Risk Management and 

Treasury Operations 

(817) 562-3593 

James T. Knoeck 

Senior Vice President, Chief Audit Executive, 

Internal Audit 

(312) 322-6205 

Ray Tamayo 

Senior Vice President, Chief Information Officer 

(312) 322-3530 

Richard G. Wallace 

Senior Vice President and Chief Compliance Officer 

(312) 322-2020 

Ronald A. Bawelkiewicz 

First Vice President, Production Services 

(817) 562-3335 

Joseph Corcoran 

First Vice President, Government Relations 

(202) 507-6203 

Daniel R. DeWaal 

First Vice President and Chief Security Officer 

(312) 322-4497 

Scott J. Everhart 

First Vice President, Technology Services 

(312) 322-4343 

James M. Kustusch 

First Vice President, Business Operations Group, 

Business Development 

(312) 322-2880 

33


Geri Love 

First Vice President, Business Operations Group, 


(312) 322-6225 

Douglas A. MacKay 

First Vice President, Finance & Accounting 

(312) 322-4984 

Carolyn S. Mitchell 

First Vice President, Business Development and 

Corporate Strategy 

(312) 322-2034 

Jo Osinga 

First Vice President, Model Validation 

(312) 322-9857 

Mary M. Savoie 

First Vice President, Industry Services 

(312) 322-6239 

Stephan Schoess 

First Vice President, Chief Economist 

(312) 322-2080 

Jennifer Stathis 

First Vice President, Application Development 

(312) 322-4483 

Dennis Woods 

First Vice President, Enterprise Risk Management 

(312) 322-1822 

Mark A. Baumgardner 

Vice President, Business Development 

(312) 322-6235 

Karen Bilek 

Vice President, Corporate Actions 

(312) 322-4521 

Carole Bovard 

Vice President, Compliance 

(312) 322-4809 

Dan Busby 

Vice President, Project Management Office 

(312) 322-4066 

Frank L. Castelluccio 

Vice President, Information Assurance and Office Services 

(312) 322-7586 

Thomas B. Chatoney 

Vice President, Enterprise Integration and 

Infrastructure Platforms 

(817) 562-3412 

Dawn Combs 

Vice President, Corporate Communications 

(312) 322-4864 

Paul DeMichele 

Vice President, Risk Management 

(312) 322-3827 

34

Heather J. Dimovski 

Vice President, Enterprise Operating Platforms 

(312) 322-4516 

John Dodson 

Vice President, Quantitative Risk Management 

(312) 322-2045 

William A. Eineke 

Vice President, Risk Management 

(817) 562-3453 

Karen A. Glad 

Vice President, Business Operations Group, 

Requirements and Assurance 

(312) 322-2041 

Robert G. Grazulis 

Vice President, Encore Prices Project Management 

(312) 322-2889 

Alan Grigoletto 

Vice President, OIC Education 

(312) 322-1187 

David H. Harrison 



(312) 322-6262 

Chris Hudon 

Vice President, National Operations 

(817) 562-3468 

Nathan Ice 

Vice President, Financial Surveillance 

(817) 562-3454 

Steve Ivey 

Vice President, Default Management 

(312) 322-6294 

Cindy James 

Vice President, Human Resources 

(817) 562-3582 

Bruce C. Kelber 

Vice President, Associate General Counsel 

(817) 562-3591 

Denise Knabjian 

Vice President, Internet & Investor Services 

(312) 322-4307 

Robert Lake 

Vice President, Application Services 

(312) 322-7615 

Amy L. Lawson 


Business Development 

(312) 322-2044 

Emmett J. McGarr 

Vice President, Production Support 

(312) 322-4488 

35


Joseph J. Pellegrini 

Vice President, Business Operations Group 

(817) 562-3590 

John A. Peplinski 


National Operations 

(312) 322-6290 

Vincent L. Powell 

Vice President, Production Operations 

(312) 322-2686 

Bethany Riesenberg 

Vice President, Accounting & Finance 

(312) 322-4986 

Marc Rosen 

Vice President, Model Validation 

(312) 322-3804 

Stephen M. Szarmack 

Vice President, Associate General Counsel 

(312) 322-4802 

Timothy R. Webster 

Vice President, Enterprise Operations 

(817) 562-3434 

Joseph T. Wegesin 

Vice President, Treasury Operations 

(312) 322-4500 

36

OCC Contacts 

Accounting: 

Debby Rowe 

(312) 322-6234 

Banking Relations: 

Doug McKay 

(312) 322-4984 

Business Development: 

Carolyn Mitchell 

(312) 322-2034 

By-Laws & Rules Book: 

Jackie Soto 

(312) 322-2026 

Clearing Banks: 

Doug MacKay 

(312) 322-4984 

Clearing Fund: 

Tom Pappageorge 

(312) 322-7518 

Compliance: 

Richard G.Wallace 

(312) 322-2020 

Corporate Communications: 

Mary Savoie 

(312) 322-6239 

Disclosure Document Orders: 

Current Issues: 

Diane Svoboda 

(312) 322-6212 

Back Issues: 

Jackie Soto 

(312) 322-2026 

Escrow Banks: 

Joseph T. Wegesin 

(312) 322-4500 

Financial Reporting: 

Nathan Ice 

(817) 562-3454 

Internet Services: 

Denise Knabjian 

(312) 322-4307 

Investor Services: 

1-888-OPTIONS 

Legal: 

Jean Cawley 

(312) 322-6269 

37

OCC Contacts 

Letter of Credit Banks: 

Tom Pappageorge 

(312) 322-7518 

Member Services: 

Help Desk 

(312) 322-6295 (within Illinois) 

(800) 621-6072 (outside Illinois) 

(800) 424-7320 (within Canada) 

Operations: 

Sheila Zak 

(312) 322-1665 

Options Industry Council: 

Dawn Combs 

(312) 322-4864 

Participant Terminal System: 

Sharon Basso 

(312) 322-7620 

Public Relations: 

Jim Binder 

(312) 322-9853 

Publications: 

Investor Services 

1-888-OPTIONS 

Risk Systems: 

David Boyd 

(312) 322-3827 

Statistical Reporting: 

Jim Johnson 

(312) 322-6207 

38

OCC Offices 

Executive Offices 



Telephone: (312) 322-6200 

Chicago Branch 



Telephone: (312) 322-6200 

Toll Free Numbers Outside Illinois: 

General Information including Accounting, Financial 

Surveillance, Legal and Member Services 

(800) 537-4258 

Operations Services Only 

(800) 544-6091 (outside Illinois) 

(800) 424-7320 (within Canada) 

Facsimile Numbers: 

Accounting - 5th Floor (312) 263-3263 

Executive Offices - 5th Floor (312) 322-2593 

Financial Surveillance/ 

Compliance - 5th Floor (312) 322-4442 

Legal - 5th Floor (312) 322-6280 

Member Services (312) 322-6255 

Treasury (312) 322-2084 

Publications (312) 322-4501 

Receptionist Area - 5th Floor (312) 322-6215 

Keller Branch 

6032 Innovation Way 

Keller, Texas 78244 

Telephone: (817) 562-3500 

Fax: (817) 562-3674 

New York Branch 

17 State Street, 6th Floor 


Telephone: (212) 422-5050 

Fax: (212) 422-5072/5074 

Washington, D.C. Branch 

20 F Street NW #700 

Washington, D.C. 20001 

Telephone: (202) 756-1968 

Fax: (202) 756-7518 

39

OCC Participant Exchanges 

BATS Exchange, Inc. 

8050 Marshall Drive 

Lenexa, Kansas 66214 

Telephone: (913) 815-7000 

Website: www.batstrading.com 

BOX Options Exchange LLC 

101 Arch Street, Suite 610 

Boston, Massachusetts 02110 

Telephone: (866) 768-8845 

Website: www.bostonoptions.com 

C2 Options Exchange Incorporated 



Telephone: (312) 786-5600 

Website: www.C2exchange.com 

Chicago Board Options Exchange, Incorporated 



Telephone: (312) 786-5600 

Website: www.cboe.com 

International Securities Exchange, LLC 



Telephone: (212) 943-2400 

Website: www.ise.com 

Miami International Securities Exchange, LLC 

7 Roszel Road, 5th Floor 

Princeton, NJ 08540 

Telephone: (609) 897-7300 

Website: www.miaxoptions.com 

NASDAQ OMX BX, Inc. 

100 Franklin Street, Suite 600 

Boston, Massachusetts 02110 

Telephone: (617) 235-2000 

Website: www.nasdaqomx.com 

NASDAQ OMX PHLX, LLC 

1900 Market Street 


Telephone: (215) 496-5000 

Website: www.nasdaqomx.com 

The NASDAQ Stock Market LLC 

One Liberty Plaza, 50th Floor 


Telephone: (212) 401-8700 

Website: www.nasdaq.com 

40

NYSE Arca, Inc. 

100 South Wacker Drive 


Telephone: (312) 960-1696 

Website: www.nyse.com 

NYSE MKT LLC 

86 Trinity Place 


Telephone: (212) 306-1000 

Website: www.nyse.com 

Topaz Exchange, LLC 



Telephone: (212) 943-2400 

Website: www.ise.com/options/ise-gemini 

41

Futures Markets 

CBOE Futures Exchange, LLC 



Telephone: (312) 786-5600 

Website: www.cfe.cboe.com 

ELX Futures, LP 

110 East 59th Street, 2nd Floor 


Telephone: (212) 294-8056 

Website: www.elxfutures.com 

NASDAQ OMX Futures Exchange 

1900 Market Street 


Telephone: (215) 496-5000 

Website: www.nasdaqtrader.com 

NYSE Liffe US 



Telephone: (212) 656-4300 

Website: www.nyseliffeus.com 

OneChicago Exchange 


Suite 1065 


Telephone: (312) 424-8500 

Website: www.onechicago.com 

42

Alternative Trading Systems 

(Securities Lending) 

Automated Equity Finance Markets, Inc. 

529 Fifth Avenue,14th Floor 


Telephone: (212) 905-5225 

Website: www.tradeaqs.com 

43

One North Wacker Drive 

Suite 500 


312.322.6200

OCC Membership Directory - The Options Clearing Corporation

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