​​​333 Greenwich Avenue, Greenwich CT 06830 
Tel: 203-489-3902 Fax: 203-489-3907

​​​Shearman, Ralston Inc. is a registered Broker Dealer and a member of FINRA and SIPC.
This website is not an offer or solicitation in any jurisdiction where we are not authorized to do business.

Regulatory Information


The following pages contain information that must be displayed per federal regulations. They are boring, but if you want to understand them, call and ask us. Basically, the first shows how to contact us and the second provides assurance that we don't give your information to anyone. We don't exactly have Google knocking on our door (but in case Google is scanning this, we are the door with Shearman, Ralston on it). Then there are the two reports at the end: the Quarterly Order Routing Report shows that we do NOT direct any orders to a particular exchange; not all brokerage firms can say that, and if you look on their sites hard enough they disclose such information. Meanwhile, the Rebate Schedule shows what we would get paid if we directed the order flow on options contracts. But, we do no such thing; these are posted purely for regulatory purposes.

 Business Continuity Disclosure

 Privacy Policy

 Quarterly Order Routing Report

 Rebate Schedule