Trading Services

Institutional traders, fund managers and advisors are trading in an increasingly challenging and competitive environment. Now more than ever, access to information and liquidity are essential to trading operations. The trading services provided by Griswold are highly efficient and effective tools available to enhance trading capabilities. Griswold’s services allow customers to communicate directly and conveniently with professionals in the market centers in New York and NASDAQ.

By providing point-of-sale information and execution, personalized service, and experienced agency trading, Griswold’s team enhances trading operations and allows clients to benefit from superior execution, efficiency and customer service.

Execution Solutions

As an independent agency-only brokerage firm, Griswold provides agency execution ensuring:

Personalization

Highly personalized and professional service is an enduring Griswold hallmark that helps set us apart from others in the field.

Griswold invests substantial time to learn each client's trading style and goals, and responds to changing trading strategies. As a result, clients are confident in allowing Griswold to handle the most sensitive trades. A Griswold professional will always be available to address questions or concerns.

Information

Griswold’s Brokers and Sales Traders provide unbiased, real-time market intelligence direct from the point-of-sale. The firm’s Traders have current in-depth market knowledge and insights gained from years of trading experience.

Griswold’s personnel are also knowledgeable and well informed on the current issues affecting the marketplace. On issues including new technology products, commission sharing arrangements and regulatory matters – Griswold has an expert to provide the latest information and offerings.

Anonymity

At Griswold, confidentiality is paramount. The firm will never reveal a client’s identity or position.

Griswold’s complete independence and unrelenting commitment to anonymity give clients genuine protections against market impact, which is typically a major portion of total execution costs.

Coverage

Griswold’s extensive infrastructure provides clients with the best possible, personalized service. Our Floor Brokers and Sales Traders provide seamless coverage allowing clients to trade all listed stocks with a single point of contact. Griswold’s agency OTC desk traders provide the same professional service with a single point of contact.

Clearing and Settlement

Since its inception, Griswold has demonstrated a strong appreciation for prompt, accurate clearing and settlement. The firm’s in house Operations Group invests substantial time and effort to understand personalized business needs and as a result settlements are efficient and trouble free.

Griswold supports DVP/RVP deliveries, step-outs and electronic allocations. All trades are processed by Griswold staff and are cleared through Goldman Sachs.

Business Continuity

The Griswold Company is committed to maintaining the highest level of business continuity possible for its clients and employees. For a summary of our business continuity plan, please read Griswold's Business Continuity Plan Summary.

In the event of a significant business disruption, Griswold will notify its clients, constituents and counter-parties of its current operational status. In addition, it will be conveyed to the aforementioned parties how Griswold intends to continue its day-to-day operations, including but not limited to, trading capabilities, operations and clearing, intercommunication and the nature of the disruption.

For a summary of our primary clearing firm's business continuity plans, please visit their website at www.gs.com.