Business Continuity Planning

Nancy Barron & Associates (NBA) has developed a Business Continuity Plan on how we will respond to events (ice storms, fire, terrorism, etc.) that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.

 

Contacting Us - If after a significant business disruption you cannot contact us as you usually do at 859-254-4010 toll free, you should first go to our web site at www.nancybarron.com and check for any current postings that would be found on the home page. If you cannot access us through any of those means, you should contact our clearing firm, National Financial Services, LLC (NFS), at 800-801-9942 for instructions on how it may provide prompt access to funds and securities, enter orders and process other trade-related, cash, and security transfer transactions for you. However, please note that if we are still in operation, calls to this line will be automatically directed to us at NBA.

 

Our Business Continuity Plan - We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm's books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.

 

Our business continuity plan addresses: data back up and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.

SEC Form CRS

Privacy Policy

Effective January 2, 2002 in order to comply with the Privacy Provisions of the Gramm-Leach-Bailey Act, Nancy Barron & Associates, Inc. [hereinafter, “NBA”] has implemented the following NBA Privacy Policy to codify the protection of certain non-public information about their clients. This policy is intended to work in tandem with the privacy policy issued by NFSL.

 

The NBA Commitment
NBA is pledged to safeguard the use of client’s personal information that is collected in the course of doing business with those clients.

NBA does not sell any non-public information to anyone. Nor does NBA provide such information to any others except as may be necessary for discrete and proper business purposes or as mandated by authorized regulatory bodies.

 

NBA Information Collection
NBA may collect information from their clients from numerous sources, including but not limited to the following:

· Information clients may provide in establishing a new account with NBA including but not limited to their name, address, telephone number and social security numbers.

· Information clients may provide to NBA about their transactions outside NBA

· Information from consumer reporting agencies, public records and other data collection agencies.

 

NBA Information Use and Disclosure
NBA shall protect the security and confidentiality of all personal information and will make every effort to insure that such information is used solely for proper business proposes in connection with the management and servicing of the client’s account(s).

 

In situations where client information is shared [such as with correspondent clearing firms and mutual funds], NBA requires other parties to treat and maintain the privacy of that information to at least the same extent and with the same degree of diligence and careful attention that is required by NBA.

 

NBA does not disclose, and has no intention to disclose, any non-public personal information to non-affiliated third parties with respect to persons who are no longer our clients.

 

NBA Security Procedures
All NBA employees are advised about the NBA commitment to safeguard the confidentiality of our client’s non-public personal information. In addition, NBA maintains physical, procedural and electronic safeguards to protect this information from unauthorized access and dissemination.

 

Client Rights
NBA will send all clients a notice of our privacy policy annually for as long as a client maintains an ongoing business relationship with NBA. The practices and policies contained in this disclosure are subject to change, but NBA will communicate any material changes to their clients and provide a revised notice incorporating any material changes before NBA implements such changes.

SEC Rule 606 Quarterly Report

NANCY BARRON & ASSOCIATES, INC. - Held
NMS Stocks and Options Order Routing Public
Report
Generated on Tue Oct 13 2020 10:58:08 GMT-4
EDT
3rd Quarter, 2020
July 2020
S&P 500 Stocks
Summary
Total Non-Directed
Orders
Non-Directed
Orders as % of All
Orders Total Market Orders
Market Orders as %
of Non-Directed
Orders
Total Marketable
Limit Orders
Marketable Limit
Orders as % of Non-
Directed Orders Total Non-Marketable Limit Orders
Non-Marketable
Limit Orders as % of
Non-Directed
Orders Total Other Orders
Other Orders as %
of Non-Directed
Orders
122 100.00 120 98.36 0 0.00 2 1.64 0 0.00
Venues
Venue - Nondirected
Order Flow
Non-Directed
Orders
Non-Directed
Orders(%) Market Orders Market Orders(%)
Marketable Limit
Orders Marketable Limit Orders(%)
Non-Marketable
Limit Orders
Non-Marketable
Limit Orders(%) Other Orders Other Orders(%)
Net Payment
Paid/Received for
Market Orders(USD)
Net Payment
Paid/Received for
Market
Orders(cents per
hundred shares)
Net Payment
Paid/Received for
Marketable Limit
Orders(USD)
Net Payment
Paid/Received for
Marketable Limit
Orders(cents per
hundred shares)
Net Payment
Paid/Received for
Non-Marketable
Limit Orders(USD)
Net Payment
Paid/Received for
Non-Marketable
Limit Orders(cents
per hundred shares)
Net Payment
Paid/Received for
Other Orders(USD)
Net Payment
Paid/Received for
Other Orders(cents
per hundred shares)
Citadel Securities
LLC(CDRG) 60 44.44 60 50.00 0 0.00 0 0.00 0 0.00 0 0 0 0 0 0 0 0
VIRTU Americas
LLC(NITE) 39 28.89 38 31.67 0 0.00 1 6.67 0 0.00 0 0 0 0 0 0 0 0
New York Stock
Exchange(NYSE) 13 9.63 0 0.00 0 0.00 13 86.67 0 0.00 0 0 0 0 0 0 0 0
JANE STREET
CAPITAL, LLC(JNST) 10 7.41 10 8.33 0 0.00 0 0.00 0 0.00 0 0 0 0 0 0 0 0
Two Sigma
Securities,
LLC(SOHO) 8 5.93 8 6.67 0 0.00 0 0.00 0 0.00 0 0 0 0 0 0 0 0
G1 Execution
Services,
LLC(ETMM) 2 1.48 2 1.67 0 0.00 0 0.00 0 0.00 0 0 0 0 0 0 0 0
UBS Securities,
LLC(UBSS) 2 1.48 2 1.67 0 0.00 0 0.00 0 0.00 0 0 0 0 0 0 0 0
Cboe EDGX US
Equities
Exchange(EDGX) 1 0.74 0 0.00 0 0.00 1 6.67 0 0.00 0 0 0 0 0 0 0 0
July 2020
Non-S&P 500 Stocks
Summary
Total Non-Directed
Orders
Non-Directed
Orders as % of All
Orders Total Market Orders
Market Orders as %
of Non-Directed
Orders
Total Marketable
Limit Orders
Marketable Limit
Orders as % of Non-
Directed Orders Total Non-Marketable Limit Orders
Non-Marketable
Limit Orders as % of
Non-Directed
Orders Total Other Orders
Other Orders as %
of Non-Directed
Orders
139 100.00 127 91.37 1 0.72 10 7.19 1 0.72
Venues
Venue - Nondirected
Order Flow
Non-Directed
Orders
Non-Directed
Orders(%) Market Orders Market Orders(%)
Marketable Limit
Orders Marketable Limit Orders(%)
Non-Marketable
Limit Orders
Non-Marketable
Limit Orders(%) Other Orders Other Orders(%)
Net Payment
Paid/Received for
Market Orders(USD)
Net Payment
Paid/Received for
Market
Orders(cents per
hundred shares)
Net Payment
Paid/Received for
Marketable Limit
Orders(USD)
Net Payment
Paid/Received for
Marketable Limit
Orders(cents per
hundred shares)
Net Payment
Paid/Received for
Non-Marketable
Limit Orders(USD)
Net Payment
Paid/Received for
Non-Marketable
Limit Orders(cents
per hundred shares)
Net Payment
Paid/Received for
Other Orders(USD)
Net Payment
Paid/Received for
Other Orders(cents
per hundred shares)
Citadel Securities
LLC(CDRG) 61 35.67 58 45.67 1 100.00 1 3.85 1 5.88 0 0 0 0 0 0 0 0
VIRTU Americas
LLC(NITE) 49 28.65 48 37.80 0 0.00 1 3.85 0 0.00 0 0 0 0 0 0 0 0
Instinet
BlockCross(BLKX) 16 9.36 0 0.00 0 0.00 0 0.00 16 94.12 0 0 0 0 0 0 0 0
NASDAQ Execution
Services, LLC(NSDQ) 14 8.19 0 0.00 0 0.00 14 53.85 0 0.00 0 0 0 0 0 0 0 0
Cboe EDGX US
Equities
Exchange(EDGX) 9 5.26 0 0.00 0 0.00 9 34.62 0 0.00 0 0 0 0 0 0 0 0
Two Sigma
Securities,
LLC(SOHO) 8 4.68 8 6.30 0 0.00 0 0.00 0 0.00 0 0 0 0 0 0 0 0
G1 Execution
Services,
LLC(ETMM) 6 3.51 6 4.72 0 0.00 0 0.00 0 0.00 0 0 0 0 0 0 0 0
JANE STREET
CAPITAL, LLC(JNST) 6 3.51 6 4.72 0 0.00 0 0.00 0 0.00 0 0 0 0 0 0 0 0
New York Stock
Exchange(NYSE) 1 0.58 0 0.00 0 0.00 1 3.85 0 0.00 0 0 0 0 0 0 0 0
UBS Securities,
LLC(UBSS) 1 0.58 1 0.79 0 0.00 0 0.00 0 0.00 0 0 0 0 0 0 0 0
July 2020
Option Contracts

 

Summary
Total Non-Directed
Orders
Non-Directed
Orders as % of All
Orders Total Market Orders
Market Orders as %
of Non-Directed
Orders
Total Marketable
Limit Orders
Marketable Limit
Orders as % of Non-
Directed Orders Total Non-Marketable Limit Orders
Non-Marketable
Limit Orders as % of
Non-Directed
Orders Total Other Orders
Other Orders as %
of Non-Directed
Orders
10 100.00 2 20.00 1 10.00 7 70.00 0 0.00
Venues
Venue - Nondirected
Order Flow
Non-Directed
Orders
Non-Directed
Orders(%) Market Orders Market Orders(%)
Marketable Limit
Orders Marketable Limit Orders(%)
Non-Marketable
Limit Orders
Non-Marketable
Limit Orders(%) Other Orders Other Orders(%)
Net Payment
Paid/Received for
Market Orders(USD)
Net Payment
Paid/Received for
Market
Orders(cents per
hundred shares)
Net Payment
Paid/Received for
Marketable Limit
Orders(USD)
Net Payment
Paid/Received for
Marketable Limit
Orders(cents per
hundred shares)
Net Payment
Paid/Received for
Non-Marketable
Limit Orders(USD)
Net Payment
Paid/Received for
Non-Marketable
Limit Orders(cents
per hundred shares)
Net Payment
Paid/Received for
Other Orders(USD)
Net Payment
Paid/Received for
Other Orders(cents
per hundred shares)
Citadel Securities
LLC(CDRG) 5 41.67 0 0.00 0 0.00 5 55.56 0 0.00 0 0 0 0 0 0 0 0
Susquehanna
Capital
Group(SUSQ) 3 25.00 2 100.00 0 0.00 1 11.11 0 0.00 0 0 0 0 0 0 0 0
Wolverine
Execution Services
LLC(WEXX) 3 25.00 0 0.00 0 0.00 3 33.33 0 0.00 0 0 0 0 0 0 0 0
Morgan Stanley &
Company
LLC(MSCO) 1 8.33 0 0.00 1 100.00 0 0.00 0 0.00 0 0 0 0 0 0 0 0
August 2020
S&P 500 Stocks
Summary
Total Non-Directed
Orders
Non-Directed
Orders as % of All
Orders Total Market Orders
Market Orders as %
of Non-Directed
Orders
Total Marketable
Limit Orders
Marketable Limit
Orders as % of Non-
Directed Orders Total Non-Marketable Limit Orders
Non-Marketable
Limit Orders as % of
Non-Directed
Orders Total Other Orders
Other Orders as %
of Non-Directed
Orders
188 100.00 177 94.15 0 0.00 11 5.85 0 0.00
Venues
Venue - Nondirected
Order Flow
Non-Directed
Orders
Non-Directed
Orders(%) Market Orders Market Orders(%)
Marketable Limit
Orders Marketable Limit Orders(%)
Non-Marketable
Limit Orders
Non-Marketable
Limit Orders(%) Other Orders Other Orders(%)
Net Payment
Paid/Received for
Market Orders(USD)
Net Payment
Paid/Received for
Market
Orders(cents per
hundred shares)
Net Payment
Paid/Received for
Marketable Limit
Orders(USD)
Net Payment
Paid/Received for
Marketable Limit
Orders(cents per
hundred shares)
Net Payment
Paid/Received for
Non-Marketable
Limit Orders(USD)
Net Payment
Paid/Received for
Non-Marketable
Limit Orders(cents
per hundred shares)
Net Payment
Paid/Received for
Other Orders(USD)
Net Payment
Paid/Received for
Other Orders(cents
per hundred shares)
Citadel Securities
LLC(CDRG) 104 52.79 102 57.63 0 0.00 2 10.00 0 0.00 0 0 0 0 0 0 0 0
VIRTU Americas
LLC(NITE) 60 30.46 58 32.77 0 0.00 2 10.00 0 0.00 0 0 0 0 0 0 0 0
New York Stock
Exchange(NYSE) 9 4.57 0 0.00 0 0.00 9 45.00 0 0.00 0 0 0 0 0 0 0 0
JANE STREET
CAPITAL, LLC(JNST) 6 3.05 6 3.39 0 0.00 0 0.00 0 0.00 0 0 0 0 0 0 0 0
G1 Execution
Services,
LLC(ETMM) 5 2.54 5 2.82 0 0.00 0 0.00 0 0.00 0 0 0 0 0 0 0 0
Two Sigma
Securities,
LLC(SOHO) 5 2.54 5 2.82 0 0.00 0 0.00 0 0.00 0 0 0 0 0 0 0 0
Cboe BZX U.S.
Equities
Exchange(BATS) 3 1.52 0 0.00 0 0.00 3 15.00 0 0.00 0 0 0 0 0 0 0 0
Cboe EDGX US
Equities
Exchange(EDGX) 2 1.02 0 0.00 0 0.00 2 10.00 0 0.00 0 0 0 0 0 0 0 0
NASDAQ Execution
Services, LLC(NSDQ) 2 1.02 0 0.00 0 0.00 2 10.00 0 0.00 0 0 0 0 0 0 0 0
UBS Securities,
LLC(UBSS) 1 0.51 1 0.56 0 0.00 0 0.00 0 0.00 0 0 0 0 0 0 0 0
August 2020
Non-S&P 500 Stocks
Summary
Total Non-Directed
Orders
Non-Directed
Orders as % of All
Orders Total Market Orders
Market Orders as %
of Non-Directed
Orders
Total Marketable
Limit Orders
Marketable Limit
Orders as % of Non-
Directed Orders Total Non-Marketable Limit Orders
Non-Marketable
Limit Orders as % of
Non-Directed
Orders Total Other Orders
Other Orders as %
of Non-Directed
Orders
159 100.00 152 95.60 0 0.00 7 4.40 0 0.00
Venues
Venue - Nondirected
Order Flow
Non-Directed
Orders
Non-Directed
Orders(%) Market Orders Market Orders(%)
Marketable Limit
Orders Marketable Limit Orders(%)
Non-Marketable
Limit Orders
Non-Marketable
Limit Orders(%) Other Orders Other Orders(%)
Net Payment
Paid/Received for
Market Orders(USD)
Net Payment
Paid/Received for
Market
Orders(cents per
hundred shares)
Net Payment
Paid/Received for
Marketable Limit
Orders(USD)
Net Payment
Paid/Received for
Marketable Limit
Orders(cents per
hundred shares)
Net Payment
Paid/Received for
Non-Marketable
Limit Orders(USD)
Net Payment
Paid/Received for
Non-Marketable
Limit Orders(cents
per hundred shares)
Net Payment
Paid/Received for
Other Orders(USD)
Net Payment
Paid/Received for
Other Orders(cents
per hundred shares)
Citadel Securities
LLC(CDRG) 73 40.78 73 48.34 0 0.00 0 0.00 0 0.00 0 0 0 0 0 0 0 0
VIRTU Americas
LLC(NITE) 62 34.64 62 41.06 0 0.00 0 0.00 0 0.00 0 0 0 0 0 0 0 0

Instinet
BlockCross(BLKX) 10 5.59 0 0.00 0 0.00 0 0.00 10 100.00 0 0 0 0 0 0 0 0
NYSE Arca(ARCA) 8 4.47 0 0.00 0 0.00 8 44.44 0 0.00 0 0 0 0 0 0 0 0
G1 Execution
Services,
LLC(ETMM) 7 3.91 7 4.64 0 0.00 0 0.00 0 0.00 0 0 0 0 0 0 0 0
JANE STREET
CAPITAL, LLC(JNST) 6 3.35 6 3.97 0 0.00 0 0.00 0 0.00 0 0 0 0 0 0 0 0
NASDAQ Execution
Services, LLC(NSDQ) 6 3.35 0 0.00 0 0.00 6 33.33 0 0.00 0 0 0 0 0 0 0 0
Cboe EDGX US
Equities
Exchange(EDGX) 2 1.12 0 0.00 0 0.00 2 11.11 0 0.00 0 0 0 0 0 0 0 0
New York Stock
Exchange(NYSE) 2 1.12 0 0.00 0 0.00 2 11.11 0 0.00 0 0 0 0 0 0 0 0
Two Sigma
Securities,
LLC(SOHO) 2 1.12 2 1.32 0 0.00 0 0.00 0 0.00 0 0 0 0 0 0 0 0
August 2020
Option Contracts
Summary
Total Non-Directed
Orders
Non-Directed
Orders as % of All
Orders Total Market Orders
Market Orders as %
of Non-Directed
Orders
Total Marketable
Limit Orders
Marketable Limit
Orders as % of Non-
Directed Orders Total Non-Marketable Limit Orders
Non-Marketable
Limit Orders as % of
Non-Directed
Orders Total Other Orders
Other Orders as %
of Non-Directed
Orders
30 100.00 3 10.00 2 6.67 25 83.33 0 0.00
Venues
Venue - Nondirected
Order Flow
Non-Directed
Orders
Non-Directed
Orders(%) Market Orders Market Orders(%)
Marketable Limit
Orders Marketable Limit Orders(%)
Non-Marketable
Limit Orders
Non-Marketable
Limit Orders(%) Other Orders Other Orders(%)
Net Payment
Paid/Received for
Market Orders(USD)
Net Payment
Paid/Received for
Market
Orders(cents per
hundred shares)
Net Payment
Paid/Received for
Marketable Limit
Orders(USD)
Net Payment
Paid/Received for
Marketable Limit
Orders(cents per
hundred shares)
Net Payment
Paid/Received for
Non-Marketable
Limit Orders(USD)
Net Payment
Paid/Received for
Non-Marketable
Limit Orders(cents
per hundred shares)
Net Payment
Paid/Received for
Other Orders(USD)
Net Payment
Paid/Received for
Other Orders(cents
per hundred shares)
Citadel Securities
LLC(CDRG) 15 50.00 2 66.67 0 0.00 13 52.00 0 0.00 0 0 0 0 0 0 0 0
Wolverine
Execution Services
LLC(WEXX) 7 23.33 0 0.00 0 0.00 7 28.00 0 0.00 0 0 0 0 0 0 0 0
Dash Financial
Technologies
LLC(DASH) 3 10.00 0 0.00 0 0.00 3 12.00 0 0.00 0 0 0 0 0 0 0 0
Susquehanna
Capital
Group(SUSQ) 3 10.00 0 0.00 2 100.00 1 4.00 0 0.00 0 0 0 0 0 0 0 0
Morgan Stanley &
Company
LLC(MSCO) 2 6.67 1 33.33 0 0.00 1 4.00 0 0.00 0 0 0 0 0 0 0 0
September 2020
S&P 500 Stocks
Summary
Total Non-Directed
Orders
Non-Directed
Orders as % of All
Orders Total Market Orders
Market Orders as %
of Non-Directed
Orders
Total Marketable
Limit Orders
Marketable Limit
Orders as % of Non-
Directed Orders Total Non-Marketable Limit Orders
Non-Marketable
Limit Orders as % of
Non-Directed
Orders Total Other Orders
Other Orders as %
of Non-Directed
Orders
123 100.00 112 91.06 1 0.81 8 6.50 2 1.63
Venues
Venue - Nondirected
Order Flow
Non-Directed
Orders
Non-Directed
Orders(%) Market Orders Market Orders(%)
Marketable Limit
Orders Marketable Limit Orders(%)
Non-Marketable
Limit Orders
Non-Marketable
Limit Orders(%) Other Orders Other Orders(%)
Net Payment
Paid/Received for
Market Orders(USD)
Net Payment
Paid/Received for
Market
Orders(cents per
hundred shares)
Net Payment
Paid/Received for
Marketable Limit
Orders(USD)
Net Payment
Paid/Received for
Marketable Limit
Orders(cents per
hundred shares)
Net Payment
Paid/Received for
Non-Marketable
Limit Orders(USD)
Net Payment
Paid/Received for
Non-Marketable
Limit Orders(cents
per hundred shares)
Net Payment
Paid/Received for
Other Orders(USD)
Net Payment
Paid/Received for
Other Orders(cents
per hundred shares)
Citadel Securities
LLC(CDRG) 75 56.82 74 66.07 1 100.00 0 0.00 0 0.00 0 0 0 0 0 0 0 0
VIRTU Americas
LLC(NITE) 35 26.52 33 29.46 0 0.00 2 12.50 0 0.00 0 0 0 0 0 0 0 0
New York Stock
Exchange(NYSE) 6 4.55 0 0.00 0 0.00 6 37.50 0 0.00 0 0 0 0 0 0 0 0
Cboe EDGX US
Equities
Exchange(EDGX) 4 3.03 0 0.00 0 0.00 4 25.00 0 0.00 0 0 0 0 0 0 0 0
G1 Execution
Services,
LLC(ETMM) 4 3.03 4 3.57 0 0.00 0 0.00 0 0.00 0 0 0 0 0 0 0 0
NASDAQ Execution
Services, LLC(NSDQ) 4 3.03 0 0.00 0 0.00 4 25.00 0 0.00 0 0 0 0 0 0 0 0
Two Sigma
Securities,
LLC(SOHO) 2 1.52 0 0.00 0 0.00 0 0.00 2 66.67 0 0 0 0 0 0 0 0
Instinet
BlockCross(BLKX) 1 0.76 0 0.00 0 0.00 0 0.00 1 33.33 0 0 0 0 0 0 0 0
JANE STREET
CAPITAL, LLC(JNST) 1 0.76 1 0.89 0 0.00 0 0.00 0 0.00 0 0 0 0 0 0 0 0

September 2020
Non-S&P 500 Stocks
Summary
Total Non-Directed
Orders
Non-Directed
Orders as % of All
Orders Total Market Orders
Market Orders as %
of Non-Directed
Orders
Total Marketable
Limit Orders
Marketable Limit
Orders as % of Non-
Directed Orders Total Non-Marketable Limit Orders
Non-Marketable
Limit Orders as % of
Non-Directed
Orders Total Other Orders
Other Orders as %
of Non-Directed
Orders
101 100.00 92 91.09 1 0.99 8 7.92 0 0.00
Venues
Venue - Nondirected
Order Flow
Non-Directed
Orders
Non-Directed
Orders(%) Market Orders Market Orders(%)
Marketable Limit
Orders Marketable Limit Orders(%)
Non-Marketable
Limit Orders
Non-Marketable
Limit Orders(%) Other Orders Other Orders(%)
Net Payment
Paid/Received for
Market Orders(USD)
Net Payment
Paid/Received for
Market
Orders(cents per
hundred shares)
Net Payment
Paid/Received for
Marketable Limit
Orders(USD)
Net Payment
Paid/Received for
Marketable Limit
Orders(cents per
hundred shares)
Net Payment
Paid/Received for
Non-Marketable
Limit Orders(USD)
Net Payment
Paid/Received for
Non-Marketable
Limit Orders(cents
per hundred shares)
Net Payment
Paid/Received for
Other Orders(USD)
Net Payment
Paid/Received for
Other Orders(cents
per hundred shares)
Citadel Securities
LLC(CDRG) 50 46.73 48 54.55 1 100.00 1 7.69 0 0.00 0 0 0 0 0 0 0 0
VIRTU Americas
LLC(NITE) 25 23.36 25 28.41 0 0.00 0 0.00 0 0.00 0 0 0 0 0 0 0 0
JANE STREET
CAPITAL, LLC(JNST) 6 5.61 5 5.68 0 0.00 1 7.69 0 0.00 0 0 0 0 0 0 0 0
Instinet
BlockCross(BLKX) 5 4.67 0 0.00 0 0.00 0 0.00 5 100.00 0 0 0 0 0 0 0 0
G1 Execution
Services,
LLC(ETMM) 5 4.67 5 5.68 0 0.00 0 0.00 0 0.00 0 0 0 0 0 0 0 0
NASDAQ Execution
Services, LLC(NSDQ) 5 4.67 0 0.00 0 0.00 5 38.46 0 0.00 0 0 0 0 0 0 0 0
Two Sigma
Securities,
LLC(SOHO) 5 4.67 5 5.68 0 0.00 0 0.00 0 0.00 0 0 0 0 0 0 0 0
Cboe EDGX US
Equities
Exchange(EDGX) 4 3.74 0 0.00 0 0.00 4 30.77 0 0.00 0 0 0 0 0 0 0 0
New York Stock
Exchange(NYSE) 2 1.87 0 0.00 0 0.00 2 15.38 0 0.00 0 0 0 0 0 0 0 0
September 2020
Option Contracts
Summary
Total Non-Directed
Orders
Non-Directed
Orders as % of All
Orders Total Market Orders
Market Orders as %
of Non-Directed
Orders
Total Marketable
Limit Orders
Marketable Limit
Orders as % of Non-
Directed Orders Total Non-Marketable Limit Orders
Non-Marketable
Limit Orders as % of
Non-Directed
Orders Total Other Orders
Other Orders as %
of Non-Directed
Orders
21 100.00 0 0.00 0 0.00 20 95.24 1 4.76
Venues
Venue - Nondirected
Order Flow
Non-Directed
Orders
Non-Directed
Orders(%) Market Orders Market Orders(%)
Marketable Limit
Orders Marketable Limit Orders(%)
Non-Marketable
Limit Orders
Non-Marketable
Limit Orders(%) Other Orders Other Orders(%)
Net Payment
Paid/Received for
Market Orders(USD)
Net Payment
Paid/Received for
Market
Orders(cents per
hundred shares)
Net Payment
Paid/Received for
Marketable Limit
Orders(USD)
Net Payment
Paid/Received for
Marketable Limit
Orders(cents per
hundred shares)
Net Payment
Paid/Received for
Non-Marketable
Limit Orders(USD)
Net Payment
Paid/Received for
Non-Marketable
Limit Orders(cents
per hundred shares)
Net Payment
Paid/Received for
Other Orders(USD)
Net Payment
Paid/Received for
Other Orders(cents
per hundred shares)
Citadel Securities
LLC(CDRG) 9 37.50 0 0.00 0 0.00 9 39.13 0 0.00 0 0 0 0 0 0 0 0
Wolverine
Execution Services
LLC(WEXX) 8 33.33 0 0.00 0 0.00 8 34.78 0 0.00 0 0 0 0 0 0 0 0
Dash Financial
Technologies
LLC(DASH) 4 16.67 0 0.00 0 0.00 4 17.39 0 0.00 0 0 0 0 0 0 0 0
Susquehanna
Capital
Group(SUSQ) 2 8.33 0 0.00 0 0.00 1 4.35 1 100.00 0 0 0 0 0 0 0 0
Morgan Stanley &
Company
LLC(MSCO) 1 4.17 0 0.00 0 0.00 1 4.35 0 0.00 0 0 0 0 0 0 0 0

Nancy Barron & Associates, Incorporated, member FINRAMSRB and SIPC. Accounts are Clearing Housed with National Financial Services, LLC(NFS), member NYSE/SIPC. Nancy Barron & Associates, Inc. and National Financial Services, LLC are in no way affiliated, and are two totally independent companies.

 

Securities in accounts carried by National Financial Services LLC (“NFS”), a Fidelity Investments company, are protected in accordance with the Securities Investor Protection Corporation (“SIPC”) up to $500,000. For claims filed on or after July 22, 2010, the $500,000 total amount of SIPC protection isinclusive of up to $250,000 protection on claims for cash, subject to periodic adjustments for inflation in accordance with terms of the SIPC statute and approval by SIPC’s board of directors. NFS also has arranged for coverage above these limits. Neither coverage protects against a decline in the market value of securities, nor does either coverage extend to certain securities that are considered ineligible for coverage. For more details on SIPC, or to request a SIPC brochure, visit www.sipc.org or call 202.371.8300.

 

“Excess of SIPC” Coverage In addition to SIPC protection, NFS provides for brokerage accounts additional “excess of SIPC” coverage through Lloyd’s of London, together with other insurers.* The excess of SIPC coverage will be used only when SIPC coverage is exhausted. Like SIPC protection,
excess of SIPC protection does not cover investment losses in customer accounts due to market fluctuation. It also does not cover other claims for losses incurred while broker-dealers remain in business. Total aggregate excess of SIPC coverage available through NFS’s excess of SIPC policy i 
$1 billion. Within NFS’s excess of SIPC coverage, there is no per-account dollar limit on coverage of securities, but there is a per-account limit of $1.9 million on coverage of cash. This is the maximum excess of SIPC protection currently available in the brokerage industry.

 

 Lloyd’s of London currently has an A (Excellent) rating with “Stable Outlook” from the ratings firm A.M. Best and an A+ (Strong) rating with “Stable Outlook” from Fitch Ratings and Standard & Poor’s.†

 

*Fidelity’s excess of SIPC insurance is provided by Lloyd’s of London, together with AXIS Specialty Europe Ltd. and Munich Re.

 

†As of December 2012, and subject to change. For ratings explanations, please go to http://www.lloyds.com/ Lloyds_Market/Ratings/.

For information about this firm and other FINRA information, please view FINRA's brokercheck at www.FINRA.org.

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