Stock Record & Position Keeping

Data on This Page

Six position rows (AAPL, HSBA, MSFT, Siemens AG, BABA ADR, Toyota Motor) each showing book quantity vs. street quantity, segregated/house classification, and match/break status. Stat tiles total 42,180 positions tracked, matched vs. break counts, and 4 segregated accounts.

What This Agent Does

Maintains the firm's securities position ledger (stock record) across segregated client and house accounts, continuously compares the internal book quantity to the street/custodian quantity, and flags any discrepancy as a break — with a one-click "Align to Street" remediation once investigated.

Worked Examples

• HSBA: book shows 84,200 shares vs. a street position of 83,000 — a 1,200-share break in a Segregated account, flagged for investigation.
• BABA ADR: book 9,800 vs. street 9,300 in a House account — a 500-share break.
• MSFT (6,400 shares) and Siemens AG (2,100 shares) both match exactly, with no action required.