SEC Rule 606(a) Report

Disclosure of order routing information

The Securities & Exchange Commission (SEC) adopted Rule 606 (formerly SEC 11Ac1-6) of the Securities Exchange Act. Rule 606 requires Osaic to comply with four primary disclosure elements: 1.) to make publicly available quarterly reports that present a general overview of order routing practices; 2.) to disclose the nature of any relationship it has with venues that it routes client orders; 3.) to furnish clients upon request the venues to which individual orders were sent for execution for the previous six months; and 4.) to provide an annual written notification to clients that this information is available upon request.

With respect to Osaic’s relationships with trading venues, Osaic directs all trades in over-the-counter (OTC), listed stock, and options to either of our two clearing firms, Pershing LLC (“Pershing”) or National Financial Services, Inc. (“NFS”), for execution.

These clearing firms may receive compensation or other consideration (“payment for order flow”) for directing such orders to particular broker-dealers or market centers for execution. Payments for order flow may consist of any monetary or non-monetary compensation, remuneration, or consideration to the clearing firm in return for routing customer orders to a particular market or dealer. Payments may also include credits, rebates, or discounts against execution fees. The source and nature of compensation received in connection with a trade will be furnished to you upon your written request.

Order execution detail for Pershing

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Order execution detail for Pershing

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Order execution detail for Pershing

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Order execution detail for Pershing

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Securities and investment advisory services are offered through the firms: Osaic Wealth, Inc., Triad Advisors, LLC, and Osaic Institutions, Inc., broker-dealers, registered investment advisers, and members of FINRA and SIPC. Securities are offered through Securities America, Inc., American Portfolios Financial Services, Inc., and Ladenburg Thalmann & Co., broker-dealers and member of FINRA and SIPC. Advisory services are offered through Arbor Point Advisors, LLC, American Portfolios Advisors, Inc., Ladenburg Thalmann Asset Management, Inc., Securities America Advisors, Inc., and Triad Hybrid Solutions, LLC, registered investment advisers. Advisory programs offered by Osaic Wealth, Inc., Securities America Advisors, Inc., and Triad Advisors, LLC., are sponsored by Vision2020 Wealth Management Corp., an affiliated registered investment adviser. 6192409

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