SEC-Required Report on Routing of Customer Orders

Wheelhouse Securities Corp. ("Wheelhouse") introduces transactions on a fully disclosed basis to our clearing firm, Pershing LLC. In November 2000, the U.S. Securities and Exchange Commission adopted rules aimed at improving the quality and availability of disclosure related to order execution and routing practices. These reports provide information on the routing of "non-directed orders," any order that the customer has not specifically instructed to be routed to a particular venue for execution. For these non-directed orders, our clearing firm has selected the execution venue.

Reports are divided into three sections:

  • Securities listed on the New York Stock Exchange
  • Securities listed on the NASDAQ Stock Market
  • Exchange-traded options

Each section identifies the venues most often selected by the clearing firm, describes the percentage of various types of orders routed to the venues, and discusses the material aspects of the respective clearing firm's relationship with the venues. Wheelhouse directs its equity order flow to its clearing broker, Pershing, for routing and execution. Wheelhouse does not receive compensation for directing order flow to Pershing.

To view the most recent quarterly report, please click here. Please enter "Wheelhouse Securities Corp" in the text box.

Further information regarding Pershing LLC’s Quality of Execution may be obtained from Thomson Reuters by clicking on this link. Please select "PERT – Pershing LLC" from the site’s drop-down menu. Please ensure the name is input exactly as shown. It is recommended also that you not cut and paste.

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