United States

Arctic Securities LLC, a US-registered broker-dealer and subsidiary of Arctic Securities AS, provides its clients with corporate and investment banking solutions. Arctic Securities LLC is registered with FINRA and is a member of SIPC.

The Arctic Group is a leading, independent provider of financial services. Arctic has an extensive global network connecting clients from around the world, and the Arctic group of companies comprises investment banking services, ship- and offshore brokerage, asset management and insurance brokerage.

FINRA BrokerCheck

As per FINRA Rule 2267, all customers, clients and investors are permitted to access BrokerCheck, a FINRA based tool which provides the public with information on the professional background, business practices, and conduct of FINRA-member firms and their associated persons when considering whether to work with a new investment professional or Firm. To view information about Natixis Securities Americas LLC, please click on the following link and type in the Firms name or the individuals name or Central Registration Depository ("CRD") number to perform your search. Arctic Securities LLC's CRD is "174423".

http://www.finra.org/brokercheck

FINRA
Telephone: (800) 289-9999
Public Disclosure
FINRA
P. O. Box 9401
Gaithersburg, Maryland 20898-9401
Fax: (301) 212-8137

The FINRA BrokerCheck publishes a free investor brochure that is available by contacting FINRA at the above telephone number or address.

Order Routing

Arctic Secuities LLC (ARSC) has prepared this report pursuant to a U.S. Securities and Exchange Commission rule (§240.11Ac1-6 / §242.606) requiring all brokerage firms to make available to the public quarterly reports about their routing practices. The report provides information on the routing of “non-directed orders” – any order that the customer has not specifically instructed to be routed to a particular venue for execution. For these non-directed orders, ARSC has selected the execution venue on behalf of its customers. Note that all order flow originating from the account of a broker-dealer other than ARSC has been excluded from this report per the 606 guidelines. The report is divided into four sections: 1. INSTINET CORPORATION 2. NEW YORK STOCK EXCHANGE 3. INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC 4. J. P. MORGAN SECURITIES INC. (JPMS). For each section, this report identifies the venues most often selected by ARSC and sets forth the percentage of various types of orders routed to the venues. This report has been reviewed by TAG, (Transaction Audit Group) a third party market surveillance and auditing firm. Questions regarding this report should be addressed to the ARSC Compliance Department at (212) 597-5555.

2nd Qtr 2017

  Non-Directed Orders Market Orders Limit Order Other Orders Material Aspects of Relationship
Total ARCTIC SECURITIES LLC Orders 100.00 % 11.88 % 15.62 % 72.50 % No B-D Supplied Information
Orders Routed To:  
INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC 54.37 % 94.74 % 68.00 % 44.83 % No B-D Supplied Information
INSTINET CORPORATION 19.38 % 5.26 % 12.00 % 23.28 % No B-D Supplied Information
NEW YORK STOCK EXCHANGE 15.62 % 0.00 % 12.00 % 18.97 % No B-D Supplied Information
J. P. MORGAN SECURITIES INC. (JPMS) 10.62 % 0.00 % 8.00 % 12.93 % No B-D Supplied Information

Contact Us

Main Office Location:

Arctic Securities LLC

1 Rockefeller Plaza

Suite 1706

New York, NY 10020

(212)597-5541