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Details

FIRST QUADRANT LP NFA ID: 0269505

Current Status
• ALSO SEE NFA ID 0295008 
 
• SWAP FIRM APPROVED 
• COMMODITY POOL OPERATOR REGISTERED 
• COMMODITY TRADING ADVISOR REGISTERED 
• NFA MEMBER APPROVED 
Exemptions and No Actions
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Firm Activity Status
Firm has on-exchange futures and/or options customer accountsYes
Firm is soliciting customersYes
Firm manages futures or options customer accountsYes
Firm operates commodity poolsYes
Firm is engaged in retail off-exchange foreign currency futures and/or optionsNo
Regulatory Actions
 AgencyNumber
NFA1
CFTC0
Exchanges0
details...
 
NFA Arbitration Decisions
 RoleNumber
Claimant0
Respondent0
details...
 
CFTC Reparations Cases
Total0
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Formerly Known As
No other names
 
Business Address
800 EAST COLORADO BOULEVARD
SUITE 900
PASADENA, CA  91101
UNITED STATES
(626) 795-8220
Doing Business As
No other names
Listed Principals
 Listed Principal Name Title 10% or More
Financial Interest
AFFILIATED MANAGERS GROUP INC YES
AMG CA HOLDINGS CORP YES
JOEL LANE BROUWERCHIEF FINANCIAL OFFICERNO
JEFF CHENG HSUN CHANGCHIEF COMPLIANCE OFFICERNO
RONNIE MAX DARNELLHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
DORI SAMUEL LEVANONIHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
EDGAR EUGENE PETERSHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
SUSAN STANNARDDIRECTORNO
JAMES RUTLEDGE TUFTSCHIEF OPERATING OFFICERNO
JIA YEHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
History
 Status Effective Date
• ALSO SEE NFA ID 0295008 
 
• SWAP FIRM APPROVED02/03/2016 
• SWAP FIRM PENDING01/29/2016 
• COMMODITY POOL OPERATOR REGISTERED03/17/1997 
• COMMODITY TRADING ADVISOR REGISTERED03/07/1996 
• NFA MEMBER APPROVED03/07/1996 
• COMMODITY TRADING ADVISOR PENDING02/07/1996 
• NFA MEMBER PENDING02/07/1996 
 
NFA is the premier independent provider of efficient and innovative regulatory programs that safeguard the integrity of the derivatives markets.