Daniel Warren Tandy

Goldman Sachs Execution & Clearing LP (GSEC) is an SEC-registered broker/dealer headquartered in New York City and was founded in 1931. The firm is a subsidiary of Goldman Sachs Group, Inc. (NYSE: GS). GSEC provides brokerage services to their clients.

Founded in 1964, Bishop, Rosen & Co., Inc. is a full-service retail and institutional brokerage firm located in New York City. They offer their clients the highest quality products and services designed for individual, corporate and institutional investors without the competing priorities placed on brokers at large financial institutions. Their dedicated brokers utilize their expertise over a broad gamut of investments: equities, fixed income, commodities, mutual funds, municipal bonds, certificate of deposits, insurance products and option-based security trading. They do not provide any internal research.

Part of The Toronto-Dominion Bank, Henderson Brothers Holdings, Inc. is a broker-dealer specialist at the New York Stock Exchange. Henderson Brothers Holdings, Inc. is based in New York, NY. Henderson Brothers Holdings was acquired by LaBranche & Co., Inc., part of The Toronto-Dominion Bank from June 28, 2011 on March 02, 2000 for $230 million.

Prime Executions, Inc. is an agency-only broker/dealer which was founded by Andrew Silverman in 1986. They are owned by Freedom Holding Corp. (NASDAQ: FRHC) in Kazakhstan. Headquartered in New York City, the firm executes shares for a wide variety of clients on both the Buy Side and Sell Side. As a qualified “Blue Line” NYSE floor brokerage firm, Prime is able to access liquidity in multiple marketplaces to fulfill its best execution obligation to their clientele.