Money Manager ADVs
Rule 606 Order Flow Report
The Securities and Exchange Commission ("SEC") requires that all broker-dealers who route equity orders and options securities provide a quarterly report outlining their routing practices, pursuant to Rule 606. As your financial professional's broker-dealer, USA Financial Securities Corporation ("USA Financial Securities") is sending you this notice as a reminder regarding the availability of our order routing reports.
USA Financial Securities places equity orders exclusively with our clearing broker, Pershing LLC ("Pershing"), for routing and execution. USA Financial Securities does not have discretion regarding Pershing's routing and execution decisions, nor do we receive payment for directing orders to Pershing.
You can view USA Financial Securities quarterly order routing reports by visiting: www.orderroutingdisclosure.com.
- Enter "USA FINANCIAL SECURITIES" in the Enter Broker-Dealer’s Full Name field.
- From there, select USA Financial Securities' name under the Search Results and the website will display the Firm's most recently available quarterly report.
- By utilizing the Period drop down menu at the top of the screen, you can view USA Financial Securities' past quarterly reports by selecting the period you wish to view and hitting Display.
USA Financial Securities does not engage in options trading.
If you have questions regarding this notice or USA Financial Securities' order routing please contact (888) 407-8198.