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.

​© 2018 by Nancy Barron and Associates, Inc.

All Rights Reserved Internationally

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.

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

Note:  Broker-dealers are required to disclose any material arrangements with the venues listed in each section below, including, but not limited to, any internalization or payment for order flow arrangements.

AA1

NANCY BARRON & ASSOCIATES, INC.

150 GRAND BOULEVARD

LEXINGTON, KY  40507

 

 

 

SEC Rule 606 Quarterly Report for the Quarter Ending September 30, 2019

 

Securities Listed on New York Stock Exchange

 

Summary Statistics:
 

  Non-directed orders as percentage of total customer orders                               100.00%
  Market orders as percentage of total non-directed orders                                     94.49%
  Limit orders as percentage of total non-directed orders                                          4.94%
  Other orders as percentage of total non-directed orders                                         0.57%
 

Venues Receiving Significant Percentage of Total Non-Directed Orders:

 

 

  1.    Citadel Securities LLC

  50.76%

  2.    VIRTU Americas LLC

  28.52%

  3.    G1 Execution Services, LLC

  11.60%

  4.    Two Sigma Securities, LLC

  3.04%

  5.    UBS Securities, LLC

  2.47%

  6.    Cboe EDGX U.S. Equities Exchange

  1.90%

  7.    New York Stock Exchange

  1.33%

  8.    State Street Global Markets, LLC

  0.19%

  9.    NASDAQ Execution Services, LLC

  0.19%

 

Information Concerning Significant Venues :


    1.    Citadel Securities LLC


            Types of Orders Routed to Venue :


                 Market orders as percentage of total non-directed orders                      52.31%

                 Limit orders as percentage of total non-directed orders                         15.38%

                 Other orders as percentage of total non-directed orders                      100.00%

 

    2.    VIRTU Americas LLC


            Types of Orders Routed to Venue :


                 Market orders as percentage of total non-directed orders                      29.78%

                 Limit orders as percentage of total non-directed orders                           7.69%

                 Other orders as percentage of total non-directed orders                          0.00%

 

    3.    G1 Execution Services, LLC


            Types of Orders Routed to Venue :


                 Market orders as percentage of total non-directed orders                      11.87%

                 Limit orders as percentage of total non-directed orders                           7.69%

                 Other orders as percentage of total non-directed orders                          0.00%

 

    4.    Two Sigma Securities, LLC


            Types of Orders Routed to Venue :


                 Market orders as percentage of total non-directed orders                        3.22%

                 Limit orders as percentage of total non-directed orders                           0.00%

                 Other orders as percentage of total non-directed orders                          0.00%

 

    5.    UBS Securities, LLC


            Types of Orders Routed to Venue :


                 Market orders as percentage of total non-directed orders                        2.62%

                 Limit orders as percentage of total non-directed orders                           0.00%

                 Other orders as percentage of total non-directed orders                          0.00%

 

    6.    Cboe EDGX U.S. Equities Exchange


            Types of Orders Routed to Venue :


                 Market orders as percentage of total non-directed orders                        0.00%

                 Limit orders as percentage of total non-directed orders                         38.46%

                 Other orders as percentage of total non-directed orders                          0.00%

 

    7.    New York Stock Exchange


            Types of Orders Routed to Venue :


                 Market orders as percentage of total non-directed orders                        0.00%

                 Limit orders as percentage of total non-directed orders                         26.92%

                 Other orders as percentage of total non-directed orders                          0.00%

 

    8.    State Street Global Markets, LLC


            Types of Orders Routed to Venue :


                 Market orders as percentage of total non-directed orders                        0.20%

                 Limit orders as percentage of total non-directed orders                           0.00%

                 Other orders as percentage of total non-directed orders                          0.00%

 

    9.    NASDAQ Execution Services, LLC


            Types of Orders Routed to Venue :


                 Market orders as percentage of total non-directed orders                        0.00%

                 Limit orders as percentage of total non-directed orders                           3.85%

                 Other orders as percentage of total non-directed orders                          0.00%

Securities Listed on The Nasdaq Stock Market

 

Summary Statistics:
 

  Non-directed orders as percentage of total customer orders                               100.00%
  Market orders as percentage of total non-directed orders                                     98.92%
  Limit orders as percentage of total non-directed orders                                          1.08%
  Other orders as percentage of total non-directed orders                                         0.00%
 

Venues Receiving Significant Percentage of Total Non-Directed Orders:

 

 

  1.    Citadel Securities LLC

  52.43%

  2.    VIRTU Americas LLC

  31.35%

  3.    G1 Execution Services, LLC

  7.57%

  4.    UBS Securities, LLC

  4.32%

  5.    Two Sigma Securities, LLC

  2.70%

  6.    NASDAQ Execution Services, LLC

  1.08%

  7.    Barron (Nancy) & Associates, Inc.

  0.54%

 

Information Concerning Significant Venues :


    1.    Citadel Securities LLC


            Types of Orders Routed to Venue :


                 Market orders as percentage of total non-directed orders                      53.01%

                 Limit orders as percentage of total non-directed orders                           0.00%

                 Other orders as percentage of total non-directed orders                          0.00%

 

    2.    VIRTU Americas LLC


            Types of Orders Routed to Venue :


                 Market orders as percentage of total non-directed orders                      31.69%

                 Limit orders as percentage of total non-directed orders                           0.00%

                 Other orders as percentage of total non-directed orders                          0.00%

 

    3.    G1 Execution Services, LLC


            Types of Orders Routed to Venue :


                 Market orders as percentage of total non-directed orders                        7.65%

                 Limit orders as percentage of total non-directed orders                           0.00%

                 Other orders as percentage of total non-directed orders                          0.00%

 

    4.    UBS Securities, LLC


            Types of Orders Routed to Venue :


                 Market orders as percentage of total non-directed orders                        4.37%

                 Limit orders as percentage of total non-directed orders                           0.00%

                 Other orders as percentage of total non-directed orders                          0.00%

 

    5.    Two Sigma Securities, LLC


            Types of Orders Routed to Venue :


                 Market orders as percentage of total non-directed orders                        2.73%

                 Limit orders as percentage of total non-directed orders                           0.00%

                 Other orders as percentage of total non-directed orders                          0.00%

 

    6.    NASDAQ Execution Services, LLC


            Types of Orders Routed to Venue :


                 Market orders as percentage of total non-directed orders                        0.00%

                 Limit orders as percentage of total non-directed orders                       100.00%

                 Other orders as percentage of total non-directed orders                          0.00%

 

    7.    Barron (Nancy) & Associates, Inc.


            Types of Orders Routed to Venue :


                 Market orders as percentage of total non-directed orders                        0.55%

                 Limit orders as percentage of total non-directed orders                           0.00%

                 Other orders as percentage of total non-directed orders                          0.00%

Securities Listed on NYSE American or Regional Exchanges

 

Summary Statistics:
 

  Non-directed orders as percentage of total customer orders                               100.00%
  Market orders as percentage of total non-directed orders                                   100.00%
  Limit orders as percentage of total non-directed orders                                          0.00%
  Other orders as percentage of total non-directed orders                                         0.00%
 

Venues Receiving Significant Percentage of Total Non-Directed Orders:

 

 

  1.    Citadel Securities LLC

  55.07%

  2.    VIRTU Americas LLC

  26.09%

  3.    G1 Execution Services, LLC

  11.59%

  4.    UBS Securities, LLC

  4.35%

  5.    Two Sigma Securities, LLC

  2.90%

 

Information Concerning Significant Venues :


    1.    Citadel Securities LLC


            Types of Orders Routed to Venue :


                 Market orders as percentage of total non-directed orders                      55.07%

                 Limit orders as percentage of total non-directed orders                           0.00%

                 Other orders as percentage of total non-directed orders                          0.00%

 

    2.    VIRTU Americas LLC


            Types of Orders Routed to Venue :


                 Market orders as percentage of total non-directed orders                      26.09%

                 Limit orders as percentage of total non-directed orders                           0.00%

                 Other orders as percentage of total non-directed orders                          0.00%

 

    3.    G1 Execution Services, LLC


            Types of Orders Routed to Venue :


                 Market orders as percentage of total non-directed orders                      11.59%

                 Limit orders as percentage of total non-directed orders                           0.00%

                 Other orders as percentage of total non-directed orders                          0.00%

 

    4.    UBS Securities, LLC


            Types of Orders Routed to Venue :


                 Market orders as percentage of total non-directed orders                        4.35%

                 Limit orders as percentage of total non-directed orders                           0.00%

                 Other orders as percentage of total non-directed orders                          0.00%

 

    5.    Two Sigma Securities, LLC


            Types of Orders Routed to Venue :


                 Market orders as percentage of total non-directed orders                        2.90%

                 Limit orders as percentage of total non-directed orders                           0.00%

                 Other orders as percentage of total non-directed orders                          0.00%

Exchange - Listed Options

 

Summary Statistics:
 

  Non-directed orders as percentage of total customer orders                               100.00%
  Market orders as percentage of total non-directed orders                                     13.79%
  Limit orders as percentage of total non-directed orders                                        86.21%
  Other orders as percentage of total non-directed orders                                         0.00%
 

Venues Receiving Significant Percentage of Total Non-Directed Orders:

 

 

  1.    NASDAQ Options Market

  27.59%

  2.    Cboe Options Exchange

  20.69%

  3.    Cboe BZX Options Exchange, Inc.

  10.34%

  4.    DASH FINANCIAL TECHNOLOGIES LLC

  10.34%

  5.    ISE Gemini Options Exchange

  10.34%

  6.    The MIAX Options Exchange

  6.90%

  7.    NASDAQ PHLX Options

  6.90%

  8.    NYSE Arca Options

  3.45%

  9.    Cboe EDGX Option Exchange

  3.45%

 

Information Concerning Significant Venues :


    1.    NASDAQ Options Market


            Types of Orders Routed to Venue :


                 Market orders as percentage of total non-directed orders                        0.00%

                 Limit orders as percentage of total non-directed orders                         32.00%

                 Other orders as percentage of total non-directed orders                          0.00%

 

    2.    Cboe Options Exchange


            Types of Orders Routed to Venue :


                 Market orders as percentage of total non-directed orders                      50.00%

                 Limit orders as percentage of total non-directed orders                         16.00%

                 Other orders as percentage of total non-directed orders                          0.00%

 

    3.    Cboe BZX Options Exchange, Inc.


            Types of Orders Routed to Venue :


                 Market orders as percentage of total non-directed orders                        0.00%

                 Limit orders as percentage of total non-directed orders                         12.00%

                 Other orders as percentage of total non-directed orders                          0.00%

 

    4.    DASH FINANCIAL TECHNOLOGIES LLC


            Types of Orders Routed to Venue :


                 Market orders as percentage of total non-directed orders                        0.00%

                 Limit orders as percentage of total non-directed orders                         12.00%

                 Other orders as percentage of total non-directed orders                          0.00%

 

    5.    ISE Gemini Options Exchange


            Types of Orders Routed to Venue :


                 Market orders as percentage of total non-directed orders                        0.00%

                 Limit orders as percentage of total non-directed orders                         12.00%

                 Other orders as percentage of total non-directed orders                          0.00%

 

    6.    The MIAX Options Exchange


            Types of Orders Routed to Venue :


                 Market orders as percentage of total non-directed orders                      25.00%

                 Limit orders as percentage of total non-directed orders                           4.00%

                 Other orders as percentage of total non-directed orders                          0.00%

 

    7.    NASDAQ PHLX Options


            Types of Orders Routed to Venue :


                 Market orders as percentage of total non-directed orders                      25.00%

                 Limit orders as percentage of total non-directed orders                           4.00%

                 Other orders as percentage of total non-directed orders                          0.00%

 

    8.    NYSE Arca Options


            Types of Orders Routed to Venue :


                 Market orders as percentage of total non-directed orders                        0.00%

                 Limit orders as percentage of total non-directed orders                           4.00%

                 Other orders as percentage of total non-directed orders                          0.00%

 

    9.    Cboe EDGX Option Exchange


            Types of Orders Routed to Venue :


                 Market orders as percentage of total non-directed orders                        0.00%

                 Limit orders as percentage of total non-directed orders                           4.00%

                 Other orders as percentage of total non-directed orders                          0.00%