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Annual 606 Disclosure

Disclosure of Order Routing (SEC Rule 606)/Annual Customer Notification

In accordance with SEC Rule 606, Clearpool Execution Services, LLC (“CES”) is providing its customers with this annual notice regarding a customer’s right to information concerning the routing of their orders for execution.

CES is required to publish quarterly statistics regarding its customer agency order routing practices. The purpose of the report is to provide the public with information on how broker-dealers route their customers’ orders, to enable customers (and others) to evaluate order routing practices. The Rule was adopted by the SEC to enhance market transparency and foster competition among market participants. This information is available on the internet at the following link and in hard copy for those who do not have access to the internet. The report is published by the end of the month following the calendar quarter reported. In addition to quarterly reports, information about the routing of individual customer orders is available to customers, upon request, for the prior six months trading activity.

All customer inquiries regarding order routing should be directed to:

Clearpool Execution Services, LLC
17 State Street, Suite 3801
New York, NY, 10004
(212) 531-8500

Following are the links to our statistics:

2017 Q1
2016 Q4
2016 Q3
2016 Q2
2016 Q1
2015 Q4
2015 Q3
2015 Q2
2015 Q1
2014 Q4