Routing Information

Important Information Regarding Order Routing and Execution.

View Regulation NMS 606 (formally Rule 11Ac1-6).

Order Execution and Routing

Smith Moore introduces transactions on a fully disclosed basis to our clearing firm, RBC Correspondent Services, a division of RBC Capital Markets, LLC, member NYSE/FINRA/SIPC.

Pursuant to SEC Rule 606 of Regulation NMS (formerly Rule 11Ac1-6), Smith Moore will make reports available quarterly representing a general overview of our order routing practices.

Our clients my request in writing the identity of the venue where their orders were routed for execution, the time the orders were executed and whether the orders were directed to a particular venue at their direction or by Smith Moore for orders routed during the previous six months.

Smith Moore directs all orders to its clearing firm, RBC Correspondent Services.