Disclosures

Disclosure of Order Execution and Routing Practices:

Rule 606: Accounts held with National Financial Securities Corporation, quarterly reports identifying the venues to which customer orders are routed for execution.

Rule 606: Accounts held with Penson Financial Services, quarterly reports identifying the venues to which customer orders are routed for execution.

Rule 606: Accounts held with Legent Clearing, LLC, quarterly reports identifying the venues to which customer orders are routed for execution.

Business Continuity Plan Disclosure

NSC Privacy Notice