Order Routing Disclosure

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. Phillips & Company routes all of its SEC Rule 606 eligible orders to its clearing firm, Pershing LLC, and does not receive any payment for order flow from the venues listed in this disclosure. For additional information about Pershing LLC’s payment for order flow practices, please see Pershing’s SEC Rule 606 disclosure.

To view Phillips & Company's order execution detail reports please click here . Enter Phillips & Company to display the reports.

Brokerage services provided by Phillips & Company Securities, Inc.
Advisory services provided by Phillips and Company Advisors, LLC

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Phillips and Company is registered with the Securities Exchange Commission (“SEC”) and a member of the Financial Industry Regulatory Authority (”FINRA”) and Municipal Securities Rulemaking Board (“MSRB”). Additional information about Phillips and Company is also available on the SEC’s website at www.adviserinfo.sec.gov. Such registration does not imply a certain level of skill or training and no inference to the contrary should be made.