Vendor Information

 

ADP

ADP Clearing & Outsourcing Services
ADP Clearing & Outsourcing Services (ADP Clearing) offers a complete range of execution, clearing and business expansion services for retail and institutional firms. Our domestic and international transaction processing capabilities support the current and future needs of our correspondent clients. We offer a breadth of services and an industry-leading brokerage platform that enables clients to increase revenues and gain operational efficiencies while significantly reducing costs. We are continually investing in the development of our products and services to ensure we offer the most advanced and scalable solutions in the marketplace.

Contact: Linda M. Wittich, Senior Vice President, Sales, ADP Clearing & Outsourcing Services, Inc., 55 Water Street, 32nd Floor, New York, NY 10041 . . . 888.294.5681 . . . bsginfo@adp.com . . . www.adpcos.com

 

Davidsohn Group

The Davidsohn Group
Situated in the heart of Wall Street lives a company that has been on the cutting edge of the financial technology industry for the past 40 years. Specializing in custom designed, state-of-the-art front-office and back-office systems, The Davidsohn Group has developed one of the largest libraries of financial software in the world. We offer fully integrated software in multi-currency/multi-firm systems with real-time and global capabilities. A unique modular approach to software implementation allows our systems to adapt to changing client needs in a cost-effective manner. A dedicated staff of managers and technicians, experienced in all aspects of the financial industry, stand ready to serve your needs.

Contact: Joseph Davidsohn, Vice President of Marketing and Sales, The Davidsohn Group, 55 Broad Street, 26 th Floor, New York, NY 10004 . . . 212.208.0100 . . . jdavidsohn@dgny.com . . . www.davidsohngroup.com

Dow Jones

Dow Jones Wealth Manager
Strong client relationships are the key to success for financial advisors, and Dow Jones Wealth Manager is the client loyalty engine that enhances advisor interaction with customers and prospects. Advisors build customized profiles of their clients’ goals and interests, which are mapped against influential Dow Jones sources like Newswires, The Wall Street Journal, & Barron’s, and other leading publications, offering advisors a continuous supply of meaningful reasons to contact clients through calls or e-mail. Easily integrated with your firm’s proprietary platform, third party applications or accessible on our Web site, Dow Jones Wealth Manager provokes the frequent, thoughtful communication that is an effective way to strengthen relationships, gather more assets, and deliver on your firm’s promise.

Contact Steve Reiser, Executive Director, Financial Solutions Marketing, Dow Jones, 800 Plaza Two, Harborside Financial Center, Jersey City, NJ . . . 201.938.5951 . . . steve.reiser@dowjones.com . . . http://www.dowjones.com

Federated

Federated Securities Corp.
Since 1955, millions of investors in the United States and around the globe have relied on Federated Investors, Inc. (NYSE: FII) for world-class investment management. Federated has grown to become one of the nation's largest investment managers with assets under management of approximately $223 billion.

Federated has honed its disciplined investment process over a half-century to deliver style-consistent investment products, including 149 domestic and international equity, fixed-income and money market mutual funds, as well as a variety of separately managed accounts. Federated's diversified product line is distributed through more than 5,400 financial intermediaries and institutions who assist investors in meeting their unique objectives.

Contact: Richard W. Boyd, Senior Vice President, Federated Investors Inc., 1001 Liberty Avenue, Pittsburgh , PA 15222-3779, 412.288.1594 . . . rboyd@federatedinv.com . . . www.federatedinvestors.com

 

First Clearing

First Clearing Correspondent Services
Unlimited potential. Clear thinking. The single most compelling business challenge today is no longer how to squeeze more from less. It’s how to profitably grow your business while maintaining a competitive market position. In an inherently complex industry, we are striving to add clarity and innovation built on an unmatched knowledge of the retail investment business. In fact, helping you find ways to better run, grow and protect your business is as much a part of our culture as precise transaction processing and proactive service. Our core competencies can help identify new operating efficiencies while our value-added services can help you remain competitive in the marketplace. Contact us to learn more about how we can provide clear thinking for your business.

Contact: David Williams, Managing Director, First Clearing Correspondent Services, Riverfront Plaza, 901 East Byrd Street, Richmond, VA 23219 . . . 1-888-FCC-CLEAR . . . david.l.williams@firstclearing.com . . . www.firstclearing.com

Incapital LLC
Incapital LLC, based in Chicago & Ft. Lauderdale, is underwriter and distributor for fixed income and structured note programs. Incapital offers InterNotes, Agencies, CDs and Structured Notes to over 400 broker dealers. Incapital has recently launched an educational site designed for both financial professionals and individual investors – StructuredInvestments.com. See also Incapital.com and InterNotes.com for further information on Incapital's products and educational initiatives.

Contact: Jim Schaberg, Director of Marketing, Incapital LLC, One N. LaSalle St. #3500, Chicago, IL 60602 . . . 312-379-3700 . . . jim.schaberg@incapital.com . . .www.incapital.com

 

National Financial
a Fidelity Investment Company
National Financial currently serves over 340 clients, ranging from retail broker/dealers to institutional investment firms, in their drive to attain competitive advantage, improve broker effectiveness and deepen client relationships. The company’s dedicated client service professionals offer Integrated Brokerage Solutions® – a combination of products, approach and program partners designed to drive growth, reduce costs and manage risk. A Fidelity Investments company, National Financial provides custody for 5.3 million client accounts and $649.0 billion in assets as of December 31, 2006. For more information about National Financial and Integrated Brokerage Solutions, please visit www.nationalfinancial.com.

Contact: Alexandra Taussig, National Financial, 200 Seaport Boulevard, Boston, MA 02210 . . . 800.752-7053 …alexandra.taussig@FMR.com. . . www.nationalfinancial.com

 

PAETEC Communications Inc.
PAETEC Communications Inc. is an Integrated Communications Provider offering financial services organizations solutions for trader voice, data needs, carrier services, conferencing services, enterprise inventory and infrastructure management, cost management and network security. PAETEC Communications Financial Services (PCFS) offers: Private line ring down services ARD/MRD TDM and IP; Trader Voice: TRADETEC (IP & TDM Plus Hybrids) MPLS IP Ringdowns with built in disaster recovery via three legged circuits to multiple locations; Automatic Ringdown; Manual Ringdown; Hoot ‘n Holler; Mitel IP Turret; Local & Long Distance; Toll & International; MPLS Securetec; E-mail scanning. PAETEC Communications, Inc. is already providing these services to financial firms and is an affinity program partner with the SIA offering attractive rates as a membership benefit. Benefits to members include: Cost Reduction; Risk Abatement and Diversity in the network; IP Technology and Gateways Plus Hybrid Solutions; Business Continuity and Scripted Disaster Recovery.

Contact: John Faccibene, Industry Vice President, Financial Services . . . Paetec Communications, 140 Broadway, 39th Floor, New York, N.Y. 10005 . . . 646.284.9980 . . . www.paetec.com

Pershing

Pershing LLC
Pershing is a leading global provider of clearing and financial services outsourcing solutions to more than 1,100 institutional and retail financial organizations and independent investment advisors who collectively represent nearly six million individual investors. Located in 18 offices worldwide, Pershing provides customers with flexible technology, operational support, practice management solutions, and a wide range of investment products, including managed account services, wealth management, lending, cash management, and retirement planning solutions. Pershing LLC (member NYSE/NASD/SIPC) is a member of every major U.S. securities exchange and its international affiliates are members of the Deutsche Borse, the Irish Stock Exchange and the London Stock Exchange. Pershing LLC is a subsidiary of The Bank of New York Company, Inc.

Contact: James J. Roth, Managing Director, Pershing LLC, One Pershing Plaza, Jersey City, NJ 07399 . . . Phone: (866) 269-8293 . . . Email: brokerageinfo@pershing.com . . . www.pershing.com

PriceMetrix
About PriceMetrix: PriceMetrix is exclusively focused on assisting retail investments firms grow their assets and revenues by assisting individual Investment Advisors to become better ‘CEOs’ of their businesses. Our Platform & Program is a combination of Reports (market & business intelligence), Tools (on-line calculators, case studies, etc.), People (client management team), and Campaigns (customized to meet individual firms’ goals) that enable advisors and management to proactively evaluate their businesses and business lines. PriceMetrix Platform & Program clients experience increases in fee-based assets, assets per Investment Advisors, assets per household and increases in pricing across all product lines. PriceMetrix is based in Toronto, Canada and services a growing North American client base.

Contact: Doug Trott, President & CEO, PriceMetrix Inc., 40 University Avenue, Suite 200, Toronto, ON M5J 1T1 . . . 416-955-4498 . . . doug.trott@pricemetrix.com . . . www.pricemetrix.com

 


Quodd Financial Information Services
QUODD Financial Information Services provides a "thin" web browser Market Data Desktop poised to revolutionize the integration, delivery and use of live data. The company's solution, QUODD Equity+, is built on an open-systems platform which allows an enterprise complete flexibility in content selection as well as customized delivery - with personalization down to the seat level. Furthermore, because QUODD's Platform seamlessly integrates all third party market data within a company's own internal systems/databases, and the entire solution is centrally-managed, it eliminates the need for company resources, thus significantly decreasing the data management costs across an enterprise. QUODD's product offerings are based on an open-ended architecture which is content-agnostic (supports an unlimited flow of content) - enabling the fully customizable, highly functional delivery of live data.

Contact: Dennis Morgan, EVP Sales & Account Management . . . 215 953.1043 . . . dennis.morgan@quodd.com . . . Keith Savitz, CEO . . . 866.537.5518 . . . keith.savitz@quodd.com . . . Quodd Financial Information Systems, 576 Sacramento Street, 7th Floor, San Francisco, CA 94111 . . . www.quodd.com

Smarsh, Inc.
Since 2001, Smarsh has provided completely managed and custom email hosting, archiving, and compliance solutions. Currently, we manage SEC & NASD compliant email and instant messaging for over 300 broker/dealers, investment advisors, international banks, traders, hedge funds and other financial companies throughout the United States and abroad, including many organizations on the floor of the NYSE. Our success has been attributed not only to superior technology but also our highly responsive customer service. We work with our customers to deliver the exact solution they need while providing the most cost effective service around. Our extremely high customer retention rate and 100% flawless regulatory audit track-records speak for themselves. In addition, we continuously develop strategic partnerships so that we may offer the most complete and encompassing solutions and services to our clients. We have been consistently profitable since our inception and continue to grow our customer base rapidly.

Contact: Sales, Smarsh, Inc., 921 SW Washington St., Suite 540, Portland, OR 97205 . . . 866-SMARSH-1 ext. 1. . . sales@smarsh.com . . . www.smarsh.com