Rule 11Ac1-6 requires broker/dealers that route customer orders in covered securities to make publicly available quarterly reports that disclose statistical order routing detail including venues (market centers) to which they route non-directed orders. It also requires broker/dealers to disclose the nature of any relationship they have with those venues, including any payment for order flow arrangements. In addition, broker/dealers must disclose to customers, on request, the venues to which their individual orders were routed.

Quarterly Report

By clicking on the applicable hyper-link below, you are able to view the most recent quarterly report available containing the identity of the venues or market centers to which a significant percentage of your non-directed orders were routed. The report contains statistical order routing detail for all orders, whether routed through or away from National Financial Services, Inc.

If you would like a written copy of the quarterly report, or would like historical order routing information for your account, please contact our Corporate Headquarters at (800) 552-0067 Option 2.

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