ORDER ROUTING PRACTICES
Under SEC Rule 606 (formerly, Rule 11AC1-6), broker-dealers that route customer orders in equity and option securities are required to make publicly available quarterly reports that, among other things, identify the venues to which customer orders are routed for execution. In addition, brokerdealers are required to disclose to customers, on request, the venues to which their orders were routed.
Waterford Capital Inc directs order flow to its clearing broker for routing and execution. Our clearing broker is Hilltop Securities Inc. Waterford Capital does not receive compensation for directing order flow.
Order Routing Practices
To view Hilltop Securities Inc. 606 (formerly Rule 11Ac1-6) statistical report of its order routing practices, please access this link:
https://www.hilltopsecurities.com/disclosures/order-routing-disclosure
