Regulatory Information
- ESI Privacy Policy
- Client Relationship Summary
- Brokerage Agreement (Client Brokerage Transaction and Service Fee Schedule)
- Important Information About Revenue Sharing Arrangements
- Business Continuity Statement
- Important Account Info
- Form ADV Part 2A (48596)
- Form ADV Part 2A - Appendix 1 (51938)
- ERISA Revenue Sharing Disclosure
- Regulation BI Disclosure
SEC-Required Report on Routing of Customer Orders
- 2019 Consolidated Quarterly Data
- 2020 - First Quarter- Consolidated Quarterly Data
- 2020 - Second Quarter- Consolidated Quarterly Data
- 2020 -Third Quarter- Consolidated Quarterly Data
- 2020 -Fourth Quarter- Consolidated Quarterly Data
- 2021 - First Quarter- Consolidated Quarterly Data
- 2021 - Second Quarter- Consolidated Quarterly Data
- 2021- Third Quarter- Consolidated Quarterly Data