Equity Trading

Equity trading is one of the most important components of building successful, long standing relationships with our clients. We are a specialized firm that treats each trade as if it was for our only account. Some of the most sophisticated technology available today has been deployed to ensure our customers gain the necessary competitive edge in the execution of their transactions. Our NASDAQ market making desk utilizes the most advanced execution/inventory management software in existence. This allows Caris & Company to outperform other trading operations that rely on ECN technology with inferior logic. Our listed trading group utilizes six different floor brokers on the NYSE alone, which enables us to cover the entire floor for our clients. We ensure order routing compliance and feasability through agreements with all major FIX engine providers, simplifying the order entry and execution process for our clients. All of our traders work closely with our institutional sales staff so that we may place large blocks of stock without market dislocation. Most importantly, our traders know the market. We understand the pressures associated with turbulent markets and the need to perform. Our goal is to simplify the trade execution portion of the investment process and give our clients the comfort of having their orders handled by experts. We accept nothing less than 100% client satisfaction, because we understand that we are only as good as our last trade.

About our Clearing Firm

Caris & Company clears the majority of its equity transactions through Pershing LLC, a BNY Securities Group Company, a leading provider of comprehensive brokerage execution, clearance, data processing and investment products and services to financial organizations worldwide. The relationship with Pershing also allows Caris & Company to leverage the experience that can only come from an organization that services approximately 1100 financial organizations worldwide. Pershing LLC, as well as the operations staff at Caris & Company, is devoted to customer satisfaction. Their priority is to ensure seamless processing of all transactions and immediate customer support.