Tagged: broker-dealer
22 results
Lime Trading
Lime Trading (Lime Trading Corp., operating as Lime Financial) is a New York-based broker-dealer that gives independent and institutional traders access to institutional-grade trading technology. Born in 2000 inside a quantitative hedge fund as Lime Brokerage, the firm built low-latency infrastructure for high-frequency trading and now offers direct market access, trading APIs, colocation, and proprietary web and mobile platforms for trading U.S. equities, options, and futures. It positions itself in the gap between bulge-bracket banks and retail apps, serving sophisticated traders and developers who want speed, transparency, and quality execution.
Ohanae
Ohanae is a New York-based fintech company building regulated market infrastructure for tokenized securities. Its Web3-powered platform combines asset tokenization, a US-dollar-pegged stablecoin (Ohanae Coin), self-sovereign identity, and an alternative trading system with automated market maker technology to handle the full lifecycle of digital asset securities - from issuance and Regulation A+ crowdfunding through custody, clearing, settlement, and secondary trading. Founded by Greg Hauw, the company operates FINRA-registered broker-dealer Ohanae Securities LLC and targets the multi-trillion-dollar OTC securities market.
OpenYield
OpenYield is a New York-based fintech operating an automated, all-to-all bond marketplace that brings an equity-like trading experience to fixed income. A FINRA-registered broker-dealer and SEC-registered alternative trading system (ATS), it offers firm, executable quotes with no minimum trade sizes across corporate bonds, municipal bonds and U.S. Treasurys, connected to brokerages, advisors, asset managers and market makers through API-first infrastructure.
Percent
Percent is a New York-based fintech company building the technology infrastructure for the private credit market. Its platform digitizes the full lifecycle of private credit transactions - sourcing, structuring, syndication, surveillance and servicing - connecting corporate and asset-based borrowers, underwriters and accredited investors on a single, transparent marketplace. Founded in 2018 (originally as Cadence) by Nelson Chu, Percent has powered roughly $2 billion in transaction volume and offers short-duration, high-yield private credit deals with lower minimums than traditional channels.
Provable Markets
Provable Markets is a New York-based financial technology company modernizing the securities lending and securities finance markets. Through Aurora, its SEC-registered, vertically integrated Alternative Trading System, it combines encrypted real-time order matching, automated post-trade lifecycle management, and connectivity to central clearing (NSCC CCP) and settlement (DTC) infrastructure. Founded in 2020 by CEO Matthew Cohen and rooted in cryptographic research on secure multi-party computation, the company aims to replace the instant-message-and-spreadsheet workflows of a roughly trillion-dollar market with cloud-native, low-latency, transparent trading.
RQD* Clearing
RQD* Clearing is a New York-based correspondent clearing firm that provides clearing, custody, and execution services for broker-dealers on a cloud-native, real-time platform. Spun out of options market maker Volant, it self-clears U.S. equities, options, and ETFs, positioning itself as a modern alternative to legacy clearing providers with direct API integration, 24x5 availability, and infrastructure built on Microsoft Azure.
Eva Sehic
Eva Sehic is the CEO of Lime Trading, a New York agency broker that provides fast, scalable direct market access to US equities and options markets. She stepped into the top job in September 2024 after joining as COO a year earlier, and brings more than two decades of markets experience from Goldman Sachs, Deutsche Bank and Sberbank's New York operation, where she served as COO and CEO. Known for pairing operational discipline with a bet on AI, blockchain and machine learning, she was named Excellence in Innovation winner at the 2024 Markets Media Women in Finance Awards and Vendor Professional of the Year at the 2025 Witad Awards.
Greg Hauw
Greg Hauw is the founder, chairman and CEO of Ohanae, a New York based fintech building regulated infrastructure for tokenized securities. Through Ohanae Securities, an SEC/FINRA registered broker-dealer, he is working to bring blockchain settlement, digital custody and around-the-clock trading to the over-the-counter securities market. A veteran of venture-backed security and networking startups since the late 1990s, Hauw pivoted Ohanae into asset tokenization in 2018 and holds FINRA SIE, Series 82 and Series 24 licenses.
Michael Sanocki
Michael Sanocki is the founder and CEO of RQD* Clearing, a New York-based cloud-native correspondent clearing firm that processes billions of dollars of US equity and options trades daily. An attorney by training who spent years inside the SEC, the ISE options exchange, and Volant Trading before running RQD, he argues that legacy clearing is 'broken' and is rebuilding it in real time on Microsoft Azure.
Prath Reddy
Prath Reddy is the CEO and CIO of Percent, a New York fintech building infrastructure for the $3.5T private credit market. A CFA charterholder and former UBS Investment Bank Director in Debt Capital Markets, he was Percent's first hire in 2018, spent years as President, and stepped into the CEO role in June 2026 when co-founder Nelson Chu moved to Executive Chairman.
Pave Finance
Pave Finance is a New York-based fintech building an AI-powered, institutional-grade wealth management platform that lets financial advisors customize, personalize and automate portfolio construction for their clients. Combining an alpha-scoring algorithm, an optimization engine and an integrated trading platform across 10,000+ global securities, Pave brings tools once reserved for hedge funds and ultra-high-net-worth desks to everyday advisors - offering direct indexing, tax-loss harvesting, values-based screens and concentrated-position management. In September 2025 the company closed an oversubscribed $14M seed round.
Plural
Plural is a San Francisco fintech building the financial operating system for infrastructure - a programmable execution layer that tokenizes real-world energy assets like solar farms, battery storage, and data centers. It targets the 'missing middle' of clean energy: sub-$100M projects too small for traditional project finance but too big to ignore. By pairing smart-contract automation with a registered broker-dealer, Plural lets developers raise capital faster and lets institutional and alternative investors underwrite, monitor, and trade cash-flow streams from the electron economy.
Satschel, Inc.
Satschel, Inc. is a Whitefish, Montana-based financial technology company building frictionless compliance and investment infrastructure with blockchain, biometrics, and AI. Its Simplici platform compresses KYC, KYB, AML, accreditation, and e-signature into a mobile-first onboarding flow that runs in about four minutes, while its subsidiary Liquidity.io operates an SEC-regulated Digital Alternative Trading System for tokenized, traditionally illiquid assets.
Adam Silver
Adam Silver is the co-founder and CEO of Plural (Plural Finance / Plural Energy), a San Francisco startup building a financial operating system for energy infrastructure. Plural tokenizes real-world clean energy assets - solar arrays, batteries, and data centers - turning them into programmable, investable products, and runs a FINRA-member broker-dealer with a transfer agent license. A former Deloitte consultant and ServiceNow product lead, Silver became obsessed with what he calls 'the miracle of lights turning on,' then with the unacceptable difficulty of financing the assets behind it. In September 2025 Plural closed an oversubscribed $7.13M seed round led by Paradigm, bringing total funding to roughly $9.3M, with over $300M in distributed solar and battery assets available for investment.
Stirlingshire
Stirlingshire is a New York-based financial services company building an advisor-first investment platform. Operating through SEC-registered, FINRA-member subsidiaries Stirlingshire RIA LLC and Stirlingshire BD LLC, it offers a full-service broker-dealer and advisory model with a sharp twist: advisors keep 100% of their asset-management fees and commissions with zero firm expenses and permanent work-from-home flexibility, while clients can self-direct at zero commission and call on a professional advisor only when they want one. Founded in 2020 by Steven Woods, the firm pitches a 'third way' between fully managed portfolios and pure DIY investing.
Nasdaq Private Market
Nasdaq Private Market (NPM) is an independent, New York-based financial technology and broker-dealer company that runs a marketplace for trading shares of private, pre-IPO companies. Through its SecondMarket platform, NPM helps startups, employees, shareholders, and institutional investors find liquidity before an exit - via tender offers, auctions, block trades, and custom company marketplaces - while bringing price discovery, data, and settlement infrastructure to a notoriously opaque corner of finance.
Steven Woods
Steven Woods is the founder and CEO of Stirlingshire Investments, a New York based, SEC-registered, FINRA-member broker-dealer trying to rewire how financial advisors get paid. He started at 26 with a GED, cold-calling for $500 a day, and grew into an advisor producing millions before walking away to build a 'Hybrid Broker-Dealer' that lets advisors keep 100% of their fees and commissions with zero expenses. His 'advice on demand' model gives clients three choices: trade free, pay only when recommendations make money, or hand over full management. He frames the whole project around one question: 'How do we make this better?'
Steven Wang
Steven Wang is the founder and CEO of dub, a regulated, SEC-registered copy-trading app that lets everyday investors mirror the portfolios of vetted managers, hedge funds, and members of Congress with one tap. A Detroit-area kid who opened a custodial brokerage account in second grade, he sold a VR company at 17, built Apple Watch software at 18, invested out of a Harvard dorm as a Dorm Room Fund partner, then dropped out to launch dub. The company has crossed 1 million downloads and raised about $47 million, including a $30M Series A in May 2025.
Yoshi Yokokawa
Yoshi Yokokawa is the co-founder and CEO of Alpaca, the San Mateo-based API-first brokerage infrastructure company that powers over 300 global fintech partners across 45 countries. A former Lehman Brothers analyst and forex trader turned repeat entrepreneur, Yoshi built Alpaca from a YC W19 startup into a $1.15 billion unicorn after raising a $150 million Series D in January 2026. His vision: a 'Global Financial OS' that makes investing borderless, accessible, and developer-native.
Finalis
Finalis is a San Francisco-based fintech building the operating system for private capital markets. It pairs a registered broker-dealer with software that handles compliance, deal management, and a global network of bankers - letting independent dealmakers run M&A, capital raises, and private placements without standing up their own back office.
Federico Baradello
Federico Baradello is the Founder and CEO of Finalis, an AI-powered investment banking platform he built from his frustration with a 30-year-old technology stack while executing M&A deals at Kirkland & Ellis. An Argentine-American multilingual attorney with degrees from Princeton, Harvard, LSE, and UC Berkeley, Baradello launched Finalis in 2020 and has grown it into one of the fastest-growing investment banking platforms in history - now powering over 900 bankers across 24 countries with $22.5B+ in closed transactions.
Dusko Kelez
Dusko Kelez is the Peruvian founder and CEO of Hapi App (YC W21), a San Francisco-based fintech that lets anyone in Latin America invest in U.S. stocks and crypto with no broker commissions and no minimums. After leading operations at Grin Scooters across seven countries and noticing that Latin Americans had no easy way to access global markets, he co-founded Hapi in 2020 with engineers Piero Sifuentes and Billy Caballero. Today the platform serves over 500,000 users in 20 countries, has raised $4.3M from Y Combinator and leading investors, and is celebrating milestones on the NASDAQ tower in Times Square.