Legal

SEC Disclosures

SEC-Required Report on Routing of Customer Orders

SEC Rule 606(a) Report – A G P / Alliance Global Partners – Q4 2022 – Q1 2024

SEC Rule 606(a) Report – A G P / Alliance Global Partners – Q2 2024 – present

ADOPTION OF CLEARING FIRM REPORTS BY REFERENCEPursuant to SEC Rule 606(a) and FINRA Rule 6151, A.G.P./Alliance Global Partners adopts by reference the Rule 606(a) quarterly order routing reports of its clearing firms, National Financial Services LLC (“NFS”) and RBC Capital Markets, LLC (“RBC”), with respect to customer order flow routed to those clearing firms for further routing and execution where the clearing firm makes the routing decision. The Firm regularly examines the reports of each clearing firm and has no reason to believe that these reports materially misrepresent the order routing practices described therein. The Firm does not receive payment for order flow from NFS or RBC in connection with order flow routed to those clearing firms for execution. The Rule 606(a) reports of the Firm and its clearing firms are available on the FINRA Data Portal at https://www.finra.org/finra-data/606-nms-data?combine=8361&field_firmname_value=&field_firmcrdnb_value=&field_context_identifier_value=

Upon request, A.G.P. / Alliance Global Partners will 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.

SEC RULE 606(B)(1) – A G P / Alliance Global Partners, upon request of its customer, will provide details on NMS stock and option non-directed orders in NMS securities including the identity of the venue and the time of execution for the prior six months.

SEC RULE 606(B)(3) – A G P / Alliance Global Partners, upon request of its customer, will provide specific disclosures related to the routing and execution of the customer’s NMS stock orders submitted on a not held basis for the prior six months. Note: You may not be eligible to receive this report based on specific criteria noted in the text of the rule. See full rule: https://www.ecfr.gov/cgi-bin/retrieveECFR?gp=1&ty=HTML&h=L&mc=true&r=SECTION&n=se17.4.242_1606
Request can be made to COMPLIANCEOFFICERS@ALLIANCEG.COM or via your Registered Representative.