Clearing and Execution Services

CLEARING ARRANGEMENT

Trade-PMR, Inc. has entered into an agreement withWells Fargo Clearing Services, LLC to execute and clear securities transactions for all accounts. Wells Fargo Clearing Services will carry and maintain these accounts (as defined by SEC Securities Investors Protection Act) under the terms of the fully disclosed clearing agreement, except as may otherwise be provided in the included Client Account Agreement.

Operating under the exception of SEC Rule 15c3-3(k)(2)(ii), TradePMR does not hold or take possession of client funds or securities. To comply with this provision, funding of all accounts and payment of transactions must be made payable toWells Fargo Clearing Services, LLC and mailed to PO BOX 358230, GAINESVILLE, FL 32635.

 

MEMBER FINRA/SIPC

TradePMR is a member of both the SIPC (Securities Investors Protection Corporation) and FINRA (Financial Industry Regulatory Authority).

To contact the SIPC, visit their website at www.sipc.org or call 202-371-8300. To receive a brochure on the SIPC, please submit a written request to TradePMR, Attn: Compliance Department, PO Box 358230, Gainesville, FL 32635.

FINRA has a public disclosure program known as BrokerCheck® that allows clients to obtain background information on investment professionals and brokerage firms at www.finra.org or via the BrokerCheck® hotline at (800) 289-9999 Monday through Friday 8 a.m. – 8 p.m., Eastern Standard Time.

COMPLAINTS

Complaints should be directed to the Compliance Department at PO Box 358230, Gainesville, FL 32635, or via email at Compliance@tradepmr.com.

 

ORDER FLOW

All broker-dealers are required by the Securities and Exchange Commission to make annual disclosure to clients concerning order routing practices and payment for order flow received from market centers and regional exchanges to which the broker-dealer routes orders for execution. We are providing you this information to assist you in understanding the process TradePMR employs.

TradePMR receives payment for routing certain orders in equity securities to specialized market maker firms for execution. Orders for securities entered “at the market” or “at quote limit” prices may be eligible for such payments. Other types of orders generally are not eligible for payments.

TradePMR and its affiliates believe that our order routing policies may provide significant benefits to clients. Practices engaged by specialized market maker firms and alternative market centers are designed to enhance quality and to provide opportunities for price improvement.

Upon written request, TradePMR will provide specific information regarding a particular transaction, including whether or not payment for order flow was received, the source of such payment, and the amount of such payment.

IDENTITY VERIFICATION

In compliance with the USA Patriot Act, TradePMR will verify information given on accounts using third party credit agencies in compliance with all government and industry regulations. Failure to provide adequate and correct information on any account will result in reporting to the proper government enforcement agency.

BEST EXECUTION

TradePMR clears all of its business with its clearing firm,Wells Fargo Clearing Services, LLC. All orders are routed through them, and all best execution data can be found on their website at www.wellsfargoclearingserivcesllc.com.