The U.S. Securities and Exchange Commission’s Rule 606 requires all broker/dealers that route orders in equity and option securities to publish quarterly reports that provide a general overview of their routing practices. This report must identify the venues to which non-directed customer orders in U.S. exchange-listed equity securities and options were routed for execution, and disclose the material aspects of the broker/dealer’s relationship with such venues. The purpose of this report is to provide the public with information on how broker-dealers route orders, enable the evaluation of order routing practices and foster competition among market participants. Upon request, broker-dealers also must disclose to customers the venues to which their individual orders were routed. Each customer may request a written copy of the report be mailed to them at no charge.
&Partners directs all trades to one of our two clearing firms, Pershing LLC (“Pershing”) or National Financial Services, Inc. (“NFS”), for execution.
Pershing, LLC (“Pershing”) have provided data concerning the routing of order flow (the “Data”) on the Client Access portion of this site. Although Pershing has used commercially reasonable efforts to provide accurate data, the data is provided to you on an “as is” basis. If you would like to read this information, you will be required to enter, exactly, the firm name WILEY BROS A DIVISION OF WILEY when you access the link below or locate SEC Rule 606 through the Customer Service link on the Client Access portion of this site. https://www.orderroutingdisclosure.com
View &Partners’ order execution details for NFS for September 30, 2023 as a PDF or XML file.
View &Partners’ order execution details for NFS for December 31, 2023 as a PDF or XML file.
View &Partners’ order execution details for NFS for March 31, 2024 as a PDF or XML file.
View &Partners’ order execution details for NFS for June 30, 2024 as a PDF or XML file.
View &Partners’ order execution details for NFS for September 30, 2024 as a PDF or XML file.