Embarcadero Securities LLC
8910 University Center Lane
Suite 570
San Diego, CA 92122
(800)508-0822
(858)457-5282
(858)457-5290
SEC-Required Report on Routing of Customer Orders on a Quarterly Basis.
Please select the quarterly report you wish to view from the dropdown
box above.
Embarcadeo has prepared this report pursuant to a U.S.
Securities and Exchange Commission rule requiring all brokerage firms to
make publicly available quarterly reports on their order routing
practices. The report provides 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, Sample Firm has selected the execution
venue on behalf of its customers.
The report is divided into four sections: one for securities listed on
the New York Stock Exchange, one for securities listed on The Nasdaq Stock
Market, one for securities listed on the American Stock Exchange or
regional exchanges, and one for exchange-listed options. For each section,
this report identifies the venues most often selected by Sample Firm, sets
forth the percentage of various types of orders routed to the venues, and
discusses the material aspects of Sample Firm's relationship with the
venues.
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