SEC RULE 606

Trade Execution Quality

SEC Rule 606

The reports are made available to the public free of charge for each calendar quarter and published no later than one month after the end of the quarter.

The U.S. Securities and Exchange Commission’s Rule 606 requires all broker/dealers that route orders in equity and option securities to publish quarterly reports that provide a general overview of their routing practices. This report must identify the venues to which non-directed customer orders in U.S. exchange-listed equity securities and options were routed for execution and disclose the material aspects of the broker/dealer’s relationship with such venues. The purpose of this report is to provide the public with information on how broker-dealers route orders, enable the evaluation of order routing practices and foster competition among market participants. Upon request, broker-dealers also must disclose to customers the venues to which their individual orders were routed. Each customer may request a written copy of the report be mailed to them at no charge.

Vanderbilt Securities, LLC. enters all equity and option orders through the order entry system of our primary custodian and clearing firm, National Financial Services, Member SIPC, a registered broker dealer and non-bank affiliate of Fidelity. With the exception of our clearing broker/introducing broker relationship with NFS, we have no material relationships with any of the venues referenced in the NFS reports. We do not receive any compensation or payment for order flow. The SEC Rule 606 requires broker dealers that route orders in certain equity and option securities to make available quarterly reports that present a general overview of their routing practices. If you would like to obtain further information regarding the primary market centers selected by NFS to handle orders, you may access NFS’s quarterly “Order Routing Report” by accessing this web link (Public Disclosure – SEC Rule 606 Reports).

Vanderbilt Financial Group is an Independent Broker Dealer doing business differently than anyone else in our field. We are constantly learning and applying new ways of doing thing- whether it’s learning a new program that improves our business, infusing gamefication into our workplace, or becoming a sustainable and green firm, we are passionate about being a modern pioneer and different kind of broker dealer. We are a unified team driven by shared values of; gratitude, respect, innovation, teamwork, and trust. At Vanderbilt we are focused on finding ways of bettering ourselves and those around us while always applying our values to our clients, our community, and our environment.

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Vanderbilt Financial Group is the marketing name for Vanderbilt Securities, LLC and its affiliates.
Securities offered through Vanderbilt Securities, LLC. Member FINRA, SIPC. Registered with MSRB. Clearing agent: Fidelity Clearing & Custody Solutions
Advisory Services offered through Vanderbilt Advisory Services & Consolidated Portfolio Review. Clearing agents: Fidelity Clearing & Custody Solutions, Charles Schwab & TD Ameritrade
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VFG and its affiliates support and promote Environmental, Social, and Corporate Governance (“ESG”), Socially Responsible Investing (“SRI”), and Impact Investing, but the Firm and its affiliates do not require or mandate that its financial professionals engage solely in related activities. Clients of the Firm and its affiliates are not required to adopt or invest in any specific security, strategy, or portfolio.

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Securities products are:
• NOT FDIC INSURED • NOT BANK GUARANTEED • MAY LOSE VALUE

No information on this web site should be considered a recommendation or solicitation to invest in a particular security or type of security.

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Past performance is not indicative of future results. Please obtain from your Financial Advisor, the prospectus(es) or other offering documents as applicable for the fee-based account program and read carefully before investing.

Vanderbilt Securities LLC is not a tax advisor. We suggest you consult your personal tax advisor and/or legal representative before making tax-related investment decisions.

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