Independent Broker/Dealers

Smaller broker/dealers that lack the scale to gain or retain access to all of the tools and services that are available to larger firms, including access to major clearing firms, can form a relationship with Cantella to help them strengthen their ability to deliver. By leveraging Cantella’s clearing relationships, they are not subject to the same restrictions or minimums as if they had a direct clearing relationship.

These are organizations that tend to struggle with manual in-house processes that are time consuming, subject to human error and often less than 100% compliant.

They are able to leverage our technology, operations and compliance infrastructure and human capital to the benefit of their clients, all while maintaining their independence and culture. Size should not limit your ability to service your clients nor should it force you to exit the business.

This market typically looks to us for:

  • Tri-party clearing relationships with National Financial, Pershing, or Raymond James
  • Flawless execution and operational support
  • Compliance support and consultation
  • Technology including integrated reporting, business intelligence analytics, electronic workflow with e-signature capabilities, client online account access, client data aggregation and access to Cantella’s document vault ( for account documents, advertising, correspondence, simplified production during regulatory exams)
  • Email and/or website hosting and archiving, including interfaces for you to review and evidence approval
  • Commission Processing System and FINOP reporting
  • Access to our IT support desk for general troubleshooting, cybersecurity best practices, and recommended hardware and software solutions
  • Direct access to DTCC Fund/SERV clearance and settlement
  • Access to our Capital Markets team

For more information on partnering with Cantella please contact our Business Development team at 800-653-0391 or click here "Partnering with Cantella".

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