SEC Rule 606 (formerly SEC 11Ac1-6) Disclosure of Order Routing Practices
In accordance with SEC Rule 606 (formerly SEC Rule 11Ac1-6) Atlas One Financial Group, LLC will, upon your request, disclose to you the identity of the venue to which your directed and non-directed orders were routed for execution in the six months prior to your request, as well as the time of the transactions, if any, that resulted from such orders. Pershing prepares quarterly reports for our routing of non-directed orders in covered securities, these reports are available though Pershing’s website at www.orderroutingdisclosure.com. A written copy of the quarterly report will be furnished upon request.
Atlas One Financial Group, LLC does not receive compensation for directing order flow. See terms and conditions section of your statement for a description of Pershing’s payment for order flow practices.
PERSHING SPECIFICALLY DISCLAIMS ALL WARRANTIES EXPRESS OR IMPLIED WITH RESPECT TO THE INFORMATION, INCLUDING SPECIFICALLY, BUT NOT EXCLUSIVELY, WARRANTIES OF MERCHANTABILITY, FITNESS FOR A PARTICULAR PURPOSE AND NON-INFRINGEMENT. YOU AGREE THAT PERSHING SHALL NOT HAVE ANY LIABILITY FOR ANY INDIRECT, CONSEQUENTIAL, SPECIAL OR DIRECT DAMAGES FOR ANY ACTION OR INACTION WHICH YOU MAY TAKE AS THE RESULT OF THE DATA, WHETHER AS A RESULT OF ANY CLAIM SOUNDING IN CONTRACT OR ANY OTHER THEORY OF LIABILITY.