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Overview
First American offers innovative business solutions for boutique
broker/dealers worldwide. Whether you use one or all of our
broker/dealer services, we use leading technology and dynamic
service to support retail, institutional, startup, established,
and independent contractor firms.
First American provides all the necessary elements to help you to grow
your broker/dealer to its maximum potential through competitive
third-party clearing relationships that include:
Unique Startup Solutions
First American has a network of professionals who specialize in
the formation and registration of broker/dealers. We have relationships
with consultants that can handle every aspect of your broker/dealer
from start-up regulatory applications, to monthly FOCUS Filings,
to annual compliance reviews. First American can help you assemble a team
of professionals to help you start a new B/D, expand your existing
B/Ds business, or properly wind down an existing B/D. We encourage
our clients to leverage our relationships, experience and purchasing
power to save time and money.
Give us a call to see how First American may be able to help you and
your end clients.
Technology
Order Entry. First American offers clients processing and order routing
systems. Regardless of the method you use, First American ensures that
it is the most dependable and cost-effective solution available.
Additionally, there is an optional set of order review rules,
which can be established by your firm. The application conducts
an on-line compliance check on over 100 different variables,
and if a customer or representative entering an order violates
a rule, you are immediately notified and provided with several
options.
First American is constantly integrating new technologies to enhance
the market transparency of our clients orders. Our clients have the ability to directly
route order flow from their preferred terminal mainframes
directly to our trading desk. This solution creates a completely
transparent marketplace for our clients from order-entry to
execution. In addition, First American can "soft-dollar" various
order-entry systems to enhance our clients visibility into
the execution of their order flow providing a seamless solution
for financial institutions to manage their business.
Back Office Systems. First American offers a broad array of advanced
back-office applications. These applications help you run
your day-to-day business more efficiently so you can concentrate
on what matters most - your clients. The applications, among
other things, help you write reports, view and print 1099
statements, view ACATs, customer account forms and confirmations,
as well as manage the dissemination of client information
and Internet access.
Customer Internet Access. First American can provide an application
for you and your clients that contains an intuitive desktop
interface to access key account information. You can customize its degree
of functionality, specify the level of information made available
to your clients, and integrate it easily with your existing
Internet home page.
Other Comprehensive Broker/Dealer Services
Execution. Via DVP or direct prime brokerage, each of your
clients will have access to a comprehensive trading desk.
This includes a team of experienced fixed income, agency and
market maker traders who are committed to the needs of all
our third-party correspondent customers - from institutional
brokerage houses to startups.
Mutual Funds. First American can provide access to more than 11,000
mutual funds. Over 1,600 funds are available through a no-transaction
fee program. Through this program your clients can buy, sell
and exchange mutual funds without incurring a ticket charge.
Advantages include a low minimum investment, the ability to
dollar-cost-average and easy access to top-performing funds.
First American can also provide systems that allow you to sort and filter
through more than 9,000 mutual funds, creating and printing
customized, charts, graphs and reports.
First American Capital and Trading Corp.
1499 West Palmetto Park Road, Suite 250
Boca Raton, FL 33486
Tel. (561) 948-7470 Fax. (561) 948-7471
Email: info@factc.com
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