As the investment industry undergoes dramatic change, Direct Access Partners continues to evolve its business model to help clients address these changes.

We understand there our clients have a critical need for greater risk controls. We have addressed this by enhancing our operations and compliance operation which is now 20% of the firm. We are staffed with highly trained compliance professionals and adhere to the highest levels of ethics, integrity and regulatory protocols to minimize risk concerns.

We maintain constant contact with the regulatory community by staying abreast of the latest legal developments that might affect your business. As a Direct Access Partners client, you will have full access to our library of legal documentation whenever you may need the resource.

Direct Access Partners has the following execution and clearance arrangements available to you:

  • Single or multi-prime arrangements with Goldman Sachs Execution & Clearing, Bank of America/Merrill Lynch/Broadcort and Bank of New York Mellon/Pershing.
  • Tri-party account arrangements with The Bank of New York Mellon/Pershing (long positions held with The Bank of New York and short and margin positions held at Pershing.
  • Step out business
  • CNS flip business
  • Soft Dollar business
  • Electronic Order Entry and DOT access

Direct Access Partners is a member of:

  • FINRA
  • NFA
  • SIPC
  • NYSE Arca
  • NYSE Euronext
  • NYSE Amex Equities
  • NYSE Amex Options
  • NYSE Arca Options
  • NASDAQ
  • NASDAQ OMX PHLX
  • BOX