• Serving clients in 50 states, with $2.6 billion AUM and 600 employees worldwide.
  • Access to global resources with the personalized service of a boutique agency.
  • Committed to exceeding client expectations since 1978.
  • A comprehensive suite of innovative Investment Banking solutions.

SEC Rule 606 Order Disclosure

LBMZ Securities has prepared this report pursuant to the U.S. Securities and Exchange Commission client disclosure rule, Rule 606, requiring all broker/dealers that route orders in equity and option securities to make publicly available quarterly reports that present a general overview of their routing practices.

The report must identify significant venues to which the client orders were routed for execution during the applicable quarter and disclose the material aspects of the broker/dealer's relationship with such venues. The report provides information on the routing of "non-directed orders" - any order that the customer has not specifically instructed to be routed to a particular venue for execution. For these non-directed orders, LBMZ Securities has selected the execution venue on behalf of its customers.

The required statistics in this quarterly report are intended to provide only an overview of our order routing practices. LBMZ Securities has made every attempt to prepare these statistics in compliance with Rule 606. These statistics have not been audited and may contain errors.

2015 Q1.pdf

2014 Q4.pdf

2014 Q3.pdf

2014 Q2.pdf

2014 Q1.pdf

2013 Q4.pdf

2013 Q3.pdf

2013 Q2.pdf

2013 Q1.pdf

2012 Q4.pdf

2012 Q3.pdf

2012 Q2.pdf

2012 Q1.pdf

2011 Q4.pdf

2011 Q3.pdf

2011 Q2.pdf

2011 Q1.pdf

2010 Q4.pdf

2010 Q3.pdf

2010 Q2.pdf

2010 Q1.pdf

2009 Q4.pdf