Sachin Shah

Credit Suisse Securities (USA) LLC (Credit Suisse Securities USA) is the broker/dealer division of Credit Suisse Securities (USA) LLC, an investment banking company headquartered in New York City. The firm was founded in 1998 and is a wholly owned subsidiary of Credit Suisse (USA), Inc., ultimately owned by Credit Suisse Group AG (SWX: CSGN) in Switzerland. Credit Suisse Securities USA offers a suite of equities, solutions and credit products and services which includes global securities sales, trading and execution, prime brokerage and comprehensive investment research. Their clients include financial institutions, corporations, governments, institutional investors, such as pension funds and hedge funds, and private individuals around the world.

Located in New York City, Millenco LP is the primary broker subsidiary of Millennium Partners. Millenco provides a full array of trading and execution services for their clients. They do not provide any internal research.

TD Prime Services LLC is a broker-dealer and FINRA member headquartered in New York City. The firm was formerly known as Albert Fried & Co. LLC. Albert Fried & Co. was acquired by TD Securities in January 2017. TD Prime Services is a direct subsidiary of Toronto Dominion Holdings (USA), Inc. and their ultimate parent is Toronto-Dominion Bank (NYSE: TD). TD Prime Services operates under the TD Securities brand. They offer a comprehensive suite of client-focused services to hedge funds, alternative asset and institutional investment managers.

Cuttone & Co., Inc. is the broker/dealer subsidiary of DriveWealth Holdings, Inc., which is owned by DriveWealth LLC. The firm was founded in 1984 by Donato A. Cuttone. Headquartered in New York City, Cuttone & Co. provides advanced institutional trading technology and execution services which includes institutional direct market access, custom algorithmic trading strategies, prime brokerage, options execution, and fixed income trading. They provide execution and consulting services to institutional asset managers, hedge funds, family offices, professional traders, and other broker dealers.

Founded in 1995, ICAP Securities USA LLC is a broker/dealer located in Jersey City, New Jersey. The firm is a subsidiary of ICAP Broking Holdings North America LLC and their ultimate parent is UK-based TP ICAP Plc, formerly Garban-Intercapital Plc. ICAP Securities provides global market information and commentary for professionals in the wholesale financial markets. The firm covers a broad range of OTC financial products and services in commodities, foreign exchange, interest rates and the credit and equity markets. They focus on companies in the Americas, the Asia/Pacific region, Europe and Africa.

Headquartered in Charlotte, North Carolina, Banc of America Securities (BAS) is the investment banking subsidiary of Bank of America Corp (NYSE: BAC). The firm provides both the domestic and international equity and investment banking markets, and pursues a strategy pioneered by Citigroup that combines corporate lending with investment banking advice and services. They provide high-yield debt underwriting and leveraged finance, in addition to industry coverage groups such as healthcare, media and telecom, financial institutions, real estate and gaming. BAS also does a significant amount of work for Financial Sponsors, or private equity firms, often financing leveraged transactions. Following the strategy of Goldman Sachs, the firm lacks a standalone mergers and acquisitions department, instead employing mergers and acquisitions senior bankers throughout the industry coverage groups. The firm is registered as a broker/dealer with the SEC, is a member of the NYSE, and the NASD. The use of Banc in the BAS's name is indicative of the fact that the company is not a bank, and their deposits and other holdings are not insured by the FDIC.

Capstone Global Markets LLC is a broker/dealer located in New York City. The firm trades across all asset classes for institutional clients. The firm is an affiliate of Capstone Holdings Group LLC. Their products include equities, equity derivatives, fixed-income, commodities, currencies, credit and futures. Capstone Global Markets offers access to every exchange-traded asset class in the US. They also provide access to the European markets through their affiliate, Capstone Global Markets (UK) LLP. Capstone Global Markets is a member of FINRA, the NFA and the SIPC

Founded in 2006, Tullett Prebon Financial Services LLC is a FINRA-registered broker/dealer located in Jersey City, New Jersey. The firm is a subsidiary of Tullett Prebon Americas Corp. and their ultimate parent is Tullett Prebon Plc. Tullett Prebon Financial Services provides a variety of services including floor trading, retailing of corporate equity securities OTC, U.S. Government securities, municipal securities, oil & gas interests, puts & Calls, option writing, private placements and the selling of interest in mortgages or other receivables. Tullett Prebon also acts as a broker on a name give-up bases on transactions involving derivatives, including but not limited to credit derivatives.