Investor Relations

Account Protection

Customers’ accounts carried by National Financial Services (NFS) are protected in accordance with the
Securities Investor Protection Corporation (SIPC) up to $500000.00 (including cash claims limited to $100000.00). For details, please go to www.sipc.org.

In addition, NFS has arranged for additional protection for cash and covered securities to supplement its SIPC coverage. This additional protections covers total account net equity in excess of the $500000.00/$100000.00 coverage provided by SIPC. Neither coverage protects against a decline in the market value of securities

Audited Financials

Please contact us at: 201-222-9300 for the last audited financial reports.

Partnerships

Routing Info

The following procedure is used to route client orders:

We do not route orders to other brokers or dealers unless requested by our customers. Unpriced orders may receive a better execution than the national bid or offer but discretion regarding price improvement will remain with the broker or dealer executing the order(s). We are members of BATS, ISE and we may receive from them rebate from our order flow from time to time. In addition we have an agreement with KED and receive a monthly rebate on the options order flow.