SEC Order Handling Disclosure

SEC Required Disclosure

Report on Routing of Customer Orders

All orders of Spartan Capital Securities, LLC are offered through its clearing firm, Axos Clearing.

Axos Clearing has provided information pursuant to a U.S. Securities and Exchange Commission (SEC) rule (606) that requires firms to make publicly available quarterly reports on the firm’s order routing practices. The report provides information on the routing of “non-directed orders” which is generally defined as any order that the client has not specifically instructed to be routed to a particular venue for execution.

For these non-directed orders, Spartan Capital has selected the execution venue or the method of execution venue selection on behalf of its clients.

The report is divided into four sections: one for securities listed on the New York Stock Exchange Euronext, one for securities listed on The Nasdaq Stock Market, one for securities listed on the NYSE MKT or other National Securities Exchange, and one for exchange-listed options.

For each section, this report identifies the venues most often selected, sets forth the percentage of various types of orders routed to the venues, and discusses the material aspects of Axos Clearing’s relationship with the venues.

For further information on these disclosures, you may visit Axos Clearing’s website at the following link:  The current site for Spartan Retail Spartan 606 disclosure from 3Q 2021 606 to present is https://external.s3.com/rule606/axos/

Previous Spartan Retail 606 routing disclosure up to 2Q 2021 are still maintained here: https://mta.ihsmarkit.com/app-v2/public-report-library/public-report-library-view/Axos%20Clearing%20LLC/359

Spartan Capital Securities Institutional 606 Reports from 1st Quarter 2022 to the present can be found here http://disclosures.bxstech.com/spnn/