1.3
Wells Fargo Clearing Services, LLC
2021
4
2022-01-26T18:32:07Z
2021
10
100.00
59.60
1.22
29.85
9.33
CITADEL SECURITIES LLC
29.83
29.78
35.66
26.79
39.07
0.00
0.0000
0.00
0.0000
9179.15
14.2581
685.48
4.0457
Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer.
This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders.
Remuneration is $0.0020 per share for non-marketable limit orders priced above $1.
Jane Street Capital
18.63
30.57
4.00
1.04
0.50
0.00
0.0000
0.00
0.0000
0.00
0.0000
0.00
0.0000
Wells Fargo Securities
13.70
22.98
0.09
0.01
0.00
0.00
0.0000
0.00
0.0000
0.00
0.0000
0.00
0.0000
Wells Fargo Clearing Services, LLC (the “Firm”) and Wells Fargo Securities, LLC (WFS) are registered broker/dealers and are both indirect, wholly-owned subsidiaries of Wells Fargo & Company. The Firm sends orders to WFS in certain equity securities, and WFS executes these orders as either principal or agent. WFS may receive compensation in the form of rebates from certain market venues for orders routed by the Firm to WFS. WFS may have a profit or loss when executing orders as principal. The Firm does not accept rebates, credits, or payments for order flow from WFS.
The Firm and WFS do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders.
UBS Securities, LLC
10.70
2.75
18.54
24.08
17.64
0.00
0.0000
0.00
0.0000
6928.58
28.5385
1370.64
65.1305
Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer.
This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders.
Remuneration is $0.0020 per share for non-marketable limit orders priced above $1.
Two Sigma Securities, LLC
8.57
3.13
14.63
16.95
15.77
0.00
0.0000
0.00
0.0000
4764.16
15.0805
0.00
0.0000
Two Sigma Securities, LLC:
Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer.
This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders.
Remuneration is $0.0020 per share for non-marketable limit orders priced above $1.
G1X Execution Services, LLC
8.21
8.23
10.60
7.93
8.68
0.00
0.0000
0.00
0.0000
2764.53
16.1610
1.23
0.0721
Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer.
This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders.
Remuneration is $0.0020 per share for non-marketable limit orders priced above $1
Virtu Americas, LLC
8.02
2.56
16.30
15.37
18.34
0.00
0.0000
0.00
0.0000
5455.66
19.7426
0.00
0.0000
Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer.
This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders.
Remuneration is $0.0020 per share for non-marketable limit orders priced above $1.
Nasdaq OMX
1.19
0.00
0.09
3.97
0.00
0.00
0.0000
-2.16
-4.9554
1016.64
30.6900
0.00
0.0000
Wells Fargo Clearing Services, LLC receives rebate payments from this exchange for executed orders that provide liquidity based upon standard exchange terms and rates. These rebates may be greater than fees paid. Some orders qualify for a higher rebate rate if eligible for exchange sponsored retail liquidity programs.
CBOE BZX Exchange
1.15
0.00
0.09
3.85
0.00
0.00
0.0000
-7.97
-19.8703
839.74
31.2352
0.00
0.0000
Wells Fargo Clearing Services, LLC receives rebate payments from this exchange for executed orders that provide liquidity based upon standard exchange terms and rates. These rebates may be greater than fees paid. Some orders qualify for a higher rebate rate if eligible for exchange sponsored retail liquidity program.
100.00
46.99
3.08
43.33
6.60
CITADEL SECURITIES LLC
26.32
23.79
33.80
26.72
38.18
0.00
0.0000
0.00
0.0000
36538.43
12.9163
3497.34
4.1893
Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer.
This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders.
Remuneration is $0.0020 per share for non-marketable limit orders priced above $1.
Wells Fargo Securities
17.03
36.23
0.04
0.01
0.00
0.00
0.0000
0.00
0.0000
0.00
0.0000
0.00
0.0000
Wells Fargo Clearing Services, LLC (the “Firm”) and Wells Fargo Securities, LLC (WFS) are registered broker/dealers and are both indirect, wholly-owned subsidiaries of Wells Fargo & Company. The Firm sends orders to WFS in certain equity securities, and WFS executes these orders as either principal or agent. WFS may receive compensation in the form of rebates from certain market venues for orders routed by the Firm to WFS. WFS may have a profit or loss when executing orders as principal. The Firm does not accept rebates, credits, or payments for order flow from WFS.
The Firm and WFS do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders.
UBS Securities, LLC
14.86
4.80
22.79
24.62
18.79
0.00
0.0000
0.00
0.0000
30212.12
25.0307
5345.17
61.1986
Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer.
This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders.
Remuneration is $0.0020 per share for non-marketable limit orders priced above $1.
Jane Street Capital
11.50
23.35
3.52
0.92
0.28
0.00
0.0000
0.00
0.0000
0.00
0.0000
0.00
0.0000
Virtu Americas, LLC
10.59
2.69
18.56
17.25
19.37
0.00
0.0000
0.00
0.0000
22650.46
16.2091
2.60
0.0164
Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer.
This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders.
Remuneration is $0.0020 per share for non-marketable limit orders priced above $1.
Two Sigma Securities, LLC
9.92
2.61
12.54
16.78
15.80
0.00
0.0000
0.52
0.0004
20087.59
15.7061
0.00
0.0000
Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer.
This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders.
Remuneration is $0.0020 per share for non-marketable limit orders priced above $1.
G1X Execution Services, LLC
7.26
6.53
8.60
7.91
7.59
0.00
0.0000
0.00
0.0000
12985.76
18.7169
36.96
0.2787
Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer.
This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders.
Remuneration is $0.0020 per share for non-marketable limit orders priced above $1.
Nasdaq OMX
1.26
0.00
0.08
2.90
0.00
0.00
0.0000
-44.93
-21.2940
3530.19
29.7936
0.00
0.0000
Wells Fargo Clearing Services, LLC receives rebate payments from this exchange for executed orders that provide liquidity based upon standard exchange terms and rates. These rebates may be greater than fees paid. Some orders qualify for a higher rebate rate if eligible for exchange sponsored retail liquidity programs.
CBOE BZX Exchange
1.26
0.00
0.05
2.90
0.00
0.00
0.0000
-15.54
-9.9650
3049.33
29.8194
0.00
0.0000
Wells Fargo Clearing Services, LLC receives rebate payments from this exchange for executed orders that provide liquidity based upon standard exchange terms and rates. These rebates may be greater than fees paid. Some orders qualify for a higher rebate rate if eligible for exchange sponsored retail liquidity program.
GTS SECURITIES LLC
0.00
0.00
0.00
0.00
0.00
0.00
0.0000
0.00
0.0000
0.00
0.0000
0.00
0.0000
100.00
35.22
9.33
53.73
1.71
Global Execution Brokers LP
38.39
37.88
39.89
38.39
40.65
33908.00
20.5229
24604.47
22.4856
43723.40
19.3605
8812.40
4.2392
Wells Fargo Clearing Services, LLC (the “Firm”) receives payments for executed option orders routed to this smart router. These payments are based on the amount of payment that the smart router receives, from exchange-sponsored programs, on the option exchange on which the option order was executed.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders.
Remuneration is paid at a rate of no more than $0.65 per contract.
CITADEL SECURITIES LLC
36.85
37.27
36.36
36.72
35.23
29523.30
9.9901
16037.16
9.9566
17066.96
9.8464
2829.68
5.1780
Wells Fargo Clearing Services, LLC (the “Firm”) receives a constant, per contract payment for executed option orders routed to this smart router. These payments are based on amounts the smart router receives, from exchange sponsored programs, on the option exchange where the option order was executed.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders.
Remuneration is paid at a rate of no more than $0.10 per contract.
Wolverine Execution Services, LLC
16.07
16.01
15.41
16.28
14.65
23411.80
17.4667
11059.76
25.9594
18421.25
27.4993
442.81
22.8370
Wells Fargo Clearing Services, LLC (the “Firm”) receives payments for executed option orders routed to this smart router. These payments are based on the amount of payment that the smart router receives, from exchange-sponsored programs, on the option exchange on which the option order was executed.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders.
Remuneration is paid at a rate of no more than $0.69 per contract.
Morgan Stanley & Co., LLC
8.65
8.79
8.24
8.59
9.48
3406.80
4.4072
3064.20
9.9497
8773.15
27.0751
1086.00
28.3329
Wells Fargo Clearing Services, LLC (the “Firm”) receives payments for executed option orders routed to this smart router. These payments are based on the amount of payment that the smart router receives, from exchange-sponsored programs, on the option exchange on which the option order was executed.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders.
Remuneration is paid at a rate of no more than $0.50 per contract.
Interactive Brokers LLC
0.04
0.05
0.10
0.02
0.00
0.00
0.0000
0.00
0.0000
0.00
0.0000
0.00
0.0000
2021
11
100.00
59.81
1.45
29.64
9.09
CITADEL SECURITIES LLC
25.41
25.39
34.73
18.86
45.42
0.00
0.0000
0.00
0.0000
5103.48
12.0875
976.81
4.5625
Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer.
This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders.
Remuneration is $0.0020 per share for non-marketable limit orders priced above $1.
Jane Street Capital
18.18
29.74
4.04
0.99
0.52
0.00
0.0000
0.00
0.0000
0.00
0.0000
0.00
0.0000
Wells Fargo Securities
15.62
26.10
0.06
0.01
0.00
0.00
0.0000
0.00
0.0000
0.00
0.0000
0.00
0.0000
Wells Fargo Clearing Services, LLC (the “Firm”) and Wells Fargo Securities, LLC (WFS) are registered broker/dealers and are both indirect, wholly-owned subsidiaries of Wells Fargo & Company. The Firm sends orders to WFS in certain equity securities, and WFS executes these orders as either principal or agent. WFS may receive compensation in the form of rebates from certain market venues for orders routed by the Firm to WFS. WFS may have a profit or loss when executing orders as principal. The Firm does not accept rebates, credits, or payments for order flow from WFS.
The Firm and WFS do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders.
G1X Execution Services, LLC
14.42
10.94
11.24
24.97
3.44
0.00
0.0000
0.00
0.0000
9559.97
17.2068
11.91
0.5839
Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer.
This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders.
Remuneration is $0.0020 per share for non-marketable limit orders priced above $1
UBS Securities, LLC
10.77
2.75
19.28
22.20
24.94
0.00
0.0000
0.00
0.0000
6928.10
9.7556
1368.62
20.6710
Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer.
This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders.
Remuneration is $0.0020 per share for non-marketable limit orders priced above $1.
Two Sigma Securities, LLC
9.04
3.54
14.73
18.58
13.23
0.00
0.0000
0.00
0.0000
6328.61
16.1350
0.00
0.0000
Two Sigma Securities, LLC:
Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer.
This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders.
Remuneration is $0.0020 per share for non-marketable limit orders priced above $1.
Virtu Americas, LLC
6.55
1.56
15.92
14.34
12.45
0.00
0.0000
0.00
0.0000
6878.22
19.8393
0.00
0.0000
Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer.
This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders.
Remuneration is $0.0020 per share for non-marketable limit orders priced above $1.
Nasdaq OMX
0.01
0.00
0.00
0.03
0.00
0.00
0.0000
0.00
0.0000
24.97
28.2852
0.00
0.0000
Wells Fargo Clearing Services, LLC receives rebate payments from this exchange for executed orders that provide liquidity based upon standard exchange terms and rates. These rebates may be greater than fees paid. Some orders qualify for a higher rebate rate if eligible for exchange sponsored retail liquidity programs.
CBOE BZX Exchange
0.01
0.00
0.00
0.03
0.00
0.00
0.0000
0.00
0.0000
2.95
30.5507
0.00
0.0000
Wells Fargo Clearing Services, LLC receives rebate payments from this exchange for executed orders that provide liquidity based upon standard exchange terms and rates. These rebates may be greater than fees paid. Some orders qualify for a higher rebate rate if eligible for exchange sponsored retail liquidity program.
100.00
47.88
3.27
42.29
6.56
CITADEL SECURITIES LLC
21.31
19.74
33.44
18.84
42.52
0.00
0.0000
0.00
0.0000
22770.26
10.6613
4152.48
3.0347
Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer.
This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders.
Remuneration is $0.0020 per share for non-marketable limit orders priced above $1.
Wells Fargo Securities
18.98
39.63
0.04
0.01
0.00
0.00
0.0000
0.00
0.0000
0.00
0.0000
0.00
0.0000
Wells Fargo Clearing Services, LLC (the “Firm”) and Wells Fargo Securities, LLC (WFS) are registered broker/dealers and are both indirect, wholly-owned subsidiaries of Wells Fargo & Company. The Firm sends orders to WFS in certain equity securities, and WFS executes these orders as either principal or agent. WFS may receive compensation in the form of rebates from certain market venues for orders routed by the Firm to WFS. WFS may have a profit or loss when executing orders as principal. The Firm does not accept rebates, credits, or payments for order flow from WFS.
The Firm and WFS do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders.
G1X Execution Services, LLC
14.72
8.27
9.66
24.05
4.14
0.00
0.0000
0.00
0.0000
42915.75
19.1136
126.41
0.5979
Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer.
This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders.
Remuneration is $0.0020 per share for non-marketable limit orders priced above $1.
UBS Securities, LLC
13.77
4.15
22.27
22.46
23.70
0.00
0.0000
0.00
0.0000
29134.56
6.8085
5663.10
14.0303
Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer.
This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders.
Remuneration is $0.0020 per share for non-marketable limit orders priced above $1.
Jane Street Capital
11.71
23.39
3.46
0.89
0.34
0.00
0.0000
0.00
0.0000
0.00
0.0000
0.00
0.0000
Two Sigma Securities, LLC
10.27
2.69
12.48
18.05
14.29
0.00
0.0000
0.00
0.0000
25175.24
15.2195
0.00
0.0000
Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer.
This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders.
Remuneration is $0.0020 per share for non-marketable limit orders priced above $1.
Virtu Americas, LLC
9.23
2.13
18.58
15.64
15.01
0.00
0.0000
0.00
0.0000
23896.88
16.1540
2.20
0.0090
Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer.
This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders.
Remuneration is $0.0020 per share for non-marketable limit orders priced above $1.
Nasdaq OMX
0.01
0.00
0.00
0.02
0.00
0.00
0.0000
0.00
0.0000
11.65
46.9758
0.00
0.0000
Wells Fargo Clearing Services, LLC receives rebate payments from this exchange for executed orders that provide liquidity based upon standard exchange terms and rates. These rebates may be greater than fees paid. Some orders qualify for a higher rebate rate if eligible for exchange sponsored retail liquidity programs.
CBOE BZX Exchange
0.01
0.00
0.00
0.02
0.00
0.00
0.0000
0.00
0.0000
7.58
32.0000
0.00
0.0000
Wells Fargo Clearing Services, LLC receives rebate payments from this exchange for executed orders that provide liquidity based upon standard exchange terms and rates. These rebates may be greater than fees paid. Some orders qualify for a higher rebate rate if eligible for exchange sponsored retail liquidity program.
GTS SECURITIES LLC
0.00
0.00
0.01
0.00
0.00
0.00
0.0000
0.00
0.0000
0.00
0.0000
0.00
0.0000
100.00
34.39
9.35
54.98
1.28
Global Execution Brokers LP
38.60
38.57
39.59
38.40
40.58
40134.51
22.5750
33726.24
23.1861
44265.16
19.0403
8156.87
3.3679
Wells Fargo Clearing Services, LLC (the “Firm”) receives payments for executed option orders routed to this smart router. These payments are based on the amount of payment that the smart router receives, from exchange-sponsored programs, on the option exchange on which the option order was executed.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders.
Remuneration is paid at a rate of no more than $0.65 per contract.
CITADEL SECURITIES LLC
37.28
36.99
37.25
37.51
34.90
32836.68
9.9928
17083.96
9.9486
18375.13
9.8162
2953.00
5.2767
Wells Fargo Clearing Services, LLC (the “Firm”) receives a constant, per contract payment for executed option orders routed to this smart router. These payments are based on amounts the smart router receives, from exchange sponsored programs, on the option exchange where the option order was executed.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders.
Remuneration is paid at a rate of no more than $0.10 per contract.
Wolverine Execution Services, LLC
15.56
15.63
15.16
15.60
14.97
26146.63
19.5299
11933.51
26.7868
20863.60
29.5180
560.50
27.6108
Wells Fargo Clearing Services, LLC (the “Firm”) receives payments for executed option orders routed to this smart router. These payments are based on the amount of payment that the smart router receives, from exchange-sponsored programs, on the option exchange on which the option order was executed.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders.
Remuneration is paid at a rate of no more than $0.69 per contract.
Morgan Stanley & Co., LLC
8.52
8.72
7.92
8.46
9.55
4396.30
5.3470
2212.25
6.4136
8335.55
25.6053
1269.20
27.8394
Wells Fargo Clearing Services, LLC (the “Firm”) receives payments for executed option orders routed to this smart router. These payments are based on the amount of payment that the smart router receives, from exchange-sponsored programs, on the option exchange on which the option order was executed.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders.
Remuneration is paid at a rate of no more than $0.50 per contract.
Interactive Brokers LLC
0.05
0.09
0.07
0.02
0.00
0.00
0.0000
0.00
0.0000
0.00
0.0000
0.00
0.0000
2021
12
99.98
61.89
1.14
29.20
7.77
CITADEL SECURITIES LLC
28.17
25.76
34.87
29.11
42.82
0.00
0.0000
0.00
0.0000
9345.70
14.2149
861.11
5.0412
Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer.
This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders.
Remuneration is $0.0020 per share for non-marketable limit orders priced above $1.
Jane Street Capital
18.31
29.01
4.25
0.93
0.43
0.00
0.0000
0.00
0.0000
0.00
0.0000
0.00
0.0000
Wells Fargo Securities
14.81
23.93
0.09
0.01
0.00
0.00
0.0000
0.00
0.0000
0.00
0.0000
0.00
0.0000
Wells Fargo Clearing Services, LLC (the “Firm”) and Wells Fargo Securities, LLC (WFS) are registered broker/dealers and are both indirect, wholly-owned subsidiaries of Wells Fargo & Company. The Firm sends orders to WFS in certain equity securities, and WFS executes these orders as either principal or agent. WFS may receive compensation in the form of rebates from certain market venues for orders routed by the Firm to WFS. WFS may have a profit or loss when executing orders as principal. The Firm does not accept rebates, credits, or payments for order flow from WFS.
The Firm and WFS do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders.
G1X Execution Services, LLC
12.08
13.10
11.45
12.23
3.45
0.00
0.0000
0.00
0.0000
5038.32
17.2675
0.20
0.0063
Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer.
This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders.
Remuneration is $0.0020 per share for non-marketable limit orders priced above $1
Two Sigma Securities, LLC
9.91
3.74
15.23
21.90
13.18
0.00
0.0000
0.14
0.0009
7076.85
16.1741
0.00
0.0000
Two Sigma Securities, LLC:
Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer.
This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders.
Remuneration is $0.0020 per share for non-marketable limit orders priced above $1.
Virtu Americas, LLC
8.47
1.42
16.17
22.14
12.07
0.00
0.0000
0.00
0.0000
9362.33
19.8588
0.32
0.0179
Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer.
This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders.
Remuneration is $0.0020 per share for non-marketable limit orders priced above $1.
UBS Securities, LLC
8.26
3.05
17.94
13.68
28.04
0.00
0.0000
0.00
0.0000
3062.62
6.8466
712.36
16.4860
Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer.
This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders.
Remuneration is $0.0020 per share for non-marketable limit orders priced above $1.
XTND
0.00
0.00
0.00
0.00
0.00
0.00
0.0000
0.00
0.0000
0.00
0.0000
0.00
0.0000
100.00
51.06
3.08
40.73
5.14
CITADEL SECURITIES LLC
25.34
21.38
31.64
27.78
41.47
0.00
0.0000
0.00
0.0000
34190.47
12.0585
5539.17
6.1731
Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer.
This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders.
Remuneration is $0.0020 per share for non-marketable limit orders priced above $1.
Wells Fargo Securities
17.89
35.02
0.05
0.01
0.00
0.00
0.0000
0.00
0.0000
0.00
0.0000
0.00
0.0000
Wells Fargo Clearing Services, LLC (the “Firm”) and Wells Fargo Securities, LLC (WFS) are registered broker/dealers and are both indirect, wholly-owned subsidiaries of Wells Fargo & Company. The Firm sends orders to WFS in certain equity securities, and WFS executes these orders as either principal or agent. WFS may receive compensation in the form of rebates from certain market venues for orders routed by the Firm to WFS. WFS may have a profit or loss when executing orders as principal. The Firm does not accept rebates, credits, or payments for order flow from WFS.
The Firm and WFS do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders.
Jane Street Capital
12.60
23.72
3.52
0.90
0.26
0.00
0.0000
0.00
0.0000
0.00
0.0000
0.00
0.0000
Virtu Americas, LLC
12.54
2.40
19.91
24.40
14.92
0.00
0.0000
0.00
0.0000
34257.66
16.2322
11.53
0.0483
Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer.
This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders.
Remuneration is $0.0020 per share for non-marketable limit orders priced above $1.
Two Sigma Securities, LLC
11.35
3.21
13.26
21.10
13.85
0.00
0.0000
3.65
0.0028
25790.36
15.0431
0.00
0.0000
Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer.
This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders.
Remuneration is $0.0020 per share for non-marketable limit orders priced above $1.
G1X Execution Services, LLC
10.21
9.40
9.83
12.00
4.20
0.00
0.0000
0.00
0.0000
18743.38
16.1749
28.37
0.1699
Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer.
This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders.
Remuneration is $0.0020 per share for non-marketable limit orders priced above $1.
UBS Securities, LLC
10.07
4.87
21.69
13.80
25.31
0.00
0.0000
0.00
0.0000
12578.69
3.9133
2355.56
6.8829
Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer.
This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders.
Remuneration is $0.0020 per share for non-marketable limit orders priced above $1.
Flow Traders
0.00
0.00
0.04
0.00
0.00
0.00
0.0000
0.00
0.0000
0.00
0.0000
0.00
0.0000
Jane Street Execution Services
0.00
0.00
0.02
0.00
0.00
0.00
0.0000
0.00
0.0000
0.00
0.0000
0.00
0.0000
GTS SECURITIES LLC
0.00
0.00
0.02
0.00
0.00
0.00
0.0000
0.00
0.0000
0.00
0.0000
0.00
0.0000
100.00
35.22
9.04
54.64
1.10
Global Execution Brokers LP
37.61
37.32
39.02
37.51
40.55
37786.48
22.8423
33855.28
24.8965
47075.77
20.6062
6947.38
3.0292
Wells Fargo Clearing Services, LLC (the “Firm”) receives payments for executed option orders routed to this smart router. These payments are based on the amount of payment that the smart router receives, from exchange-sponsored programs, on the option exchange on which the option order was executed.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders.
Remuneration is paid at a rate of no more than $0.65 per contract.
CITADEL SECURITIES LLC
37.05
36.86
36.43
37.33
33.92
32604.13
9.9801
19210.25
9.9211
18074.96
9.7994
2394.78
5.0228
Wells Fargo Clearing Services, LLC (the “Firm”) receives a constant, per contract payment for executed option orders routed to this smart router. These payments are based on amounts the smart router receives, from exchange sponsored programs, on the option exchange where the option order was executed.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders.
Remuneration is paid at a rate of no more than $0.10 per contract.
Wolverine Execution Services, LLC
15.93
16.21
15.32
15.87
15.27
28151.53
19.6002
12249.65
24.7418
17788.74
26.1572
492.59
21.4449
Wells Fargo Clearing Services, LLC (the “Firm”) receives payments for executed option orders routed to this smart router. These payments are based on the amount of payment that the smart router receives, from exchange-sponsored programs, on the option exchange on which the option order was executed.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders.
Remuneration is paid at a rate of no more than $0.69 per contract.
Morgan Stanley & Co., LLC
9.32
9.43
9.12
9.26
10.27
5537.35
6.3168
3030.60
8.2488
7433.30
23.3561
1208.70
30.6699
Wells Fargo Clearing Services, LLC (the “Firm”) receives payments for executed option orders routed to this smart router. These payments are based on the amount of payment that the smart router receives, from exchange-sponsored programs, on the option exchange on which the option order was executed.
The Firm and this venue do not have any arrangements:
A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds;
B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds;
C. for volume-based tiered payment schedules; or
D. for minimum amount of orders.
Remuneration is paid at a rate of no more than $0.50 per contract.
Interactive Brokers LLC
0.09
0.19
0.12
0.03
0.00
0.00
0.0000
0.00
0.0000
0.00
0.0000
0.00
0.0000