Battenkill Capital, Inc. is an independent Broker Dealer
formed in 2004 as a member of the FINRA (Financial Industry Regulatory Authority) formally the NASD (National Association of Securities Dealers) with an institutional only client base.

The firms institutional trade desk is located in Manchester Center, VT.  From our desk we have access to all the primary global and domestic markets / best pools of liquidity for OTC, OTCBB, ETF's (Exchange Traded Funds), ADR's (American Depository Receipts), Listed Equity, and Option Executions.

The Firm became a member of the New York Stock Exchange (NYSE) in early 2006 and maintains dual registration with both the FINRA and the NYSE.  Battenkill Capital is now one of the largest independent firms operating on the floor of the NYSE catering to Direct Access clients, member to member, and non-member business.  With 8 full time experienced floor brokers, one reserve broker, and four booths located on the floor, we have put the infrastructure in place to best serve the client.

All of the Institutional Trading Operations execute client orders on a strict agency only basis. From the NYSE floor operations to the trade desk in Vermont, the agency only policy remains the same.  We do not make markets or trade proprietary capital to avoid any potential conflict of interest when handling clients orders.

The firm specializes in catering to the trading needs of our institutional clients.  We have experienced compliance personnel staying abreast of developments from FINRA and NYSE Regulation.  We have implemented all the latest electonic connectivity for efficiency.  From FIX connections, BBSS (Broker Booth Support System) for electronic transmission of order flow, point to point ring down circuits to communicate with clients, to OMGEO's ALERT and OASYS for trade allocation and processing.  We strive to distinguish ourselves from other independent brokers by our quality of trade execution, communication with our clients, and top tier systems.

Clients include NYSE member firms, non-member firms, mutual funds, asset management firms and hedge funds, and can range in size from newly formed entities to established firms who manage multi-billion dollar portfolios across a multitude of asset classes and investment styles.