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The Firm is incorporated in Delaware and has six designated officers to represent and act on the Corporation’s behalf for its legal, regulatory, financial and related corporate activities:

pic Edward J. Rappa Chairman and
Chief Executive Officer
pic Joseph A. Calvo, Jr. President and
Chief Operating Officer
pic Lawrence J. Milstein Senior Vice President
pic John E. Carroll III Senior Vice President
pic Timothy L. Burns Chief Administrative and
Chief Compliance Officer
pic Richard E. Scofield Chief Financial Officer
and Secretary

Designated department heads and support personnel are responsible for the day to day activities and management of the Firm. We utilize a decentralized collaborative approach to managing the Firms’ activities. With over 50 salespeople and 15 traders, the firm provides liquidity, investment idea generation and investment banking in support of our clients in a full range of fixed income and equity products:

Clearing Agents

J. P. Morgan Clearing Corp.

Telephone: 212-552-1919

Pershing LLC

Telephone: 201-413-2000