Member: FINRA, SIPC, clearing on a fully disclosed basis through Pershing LLC,

(an indirect, wholly-owned subsidiary of  Bank of New York Mellon – NYSE BK).  

Prime Brokerage Accounts.

We have established relationships with the major Prime Brokers.
Interested parties should give us the name of their Prime Brokerage contact who will then arrange to send us account details and a Form 1 Schedule A.

Contact: Peter Wan
admin @
Tel. 212 757 6824
Fax 212 246 0158

Prime Broker Client Agreement

If you wish to become a new client for Pershing's Prime Brokerage.

  • Client Prime Brokerage Agreement

    This agreement does not establish a Pershing Prime Services relationship. It is an agreement for Aufhauser, as a Pershing IBD, to execute trades for customers who have a Prime Brokerage relationship with another Broker Dealer.

  • Introduced Prime Client Agreement

    This agreement is required for all Pershing custody accounts engaging in Prime Broker trading. This agreement documents the relationship between you, the client, and any investment advisor that you utilize, if applicable.

  • COD Account Application

    This application specifies where Aufhauser will send/receive securities or money as a result of trades executed if your custodian is not Pershing.

    Aufhauser Money Manager Services offers a package of execution and custody services to qualifying independent money managers. We execute your trades on Neovest, according to algorithms and or routes that you specify. We do not direct orders to any venue based on order rebates from those market centers or dark pools.

    In connection with Pershing LLC (a wholly owned indirect subsidiary of the Bank of New York Mellon) we provide access to international markets: forex, multi-currency accounts, international clearance and execution. We are especially strong in the Hong Kong market.