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Agreements and Disclosures

SEC Rule 606 Quarterly Reports

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These reports are made available to the public free of charge for each calendar quarter and published no later than one month after the end of the quarter. The U.S. Securities and Exchange Commission’s Rule 606 requires all broker/dealers that route orders in equity and option securities to publish quarterly reports that provide a general overview of their routing practices. This report must identify the venues to which non-directed customer orders in U.S. exchange-listed equity securities and options were routed for execution and disclose the material aspects of the broker/dealer’s relationship with such venues. The purpose of this report is to provide the public with information on how broker-dealers route orders, enable the evaluation of order routing practices and foster competition among market participants. Upon request, broker-dealers also must disclose to customers the venues to which their individual orders were routed. Each customer may request a written copy of the report be mailed to them at no charge. Flagstar Advisors, Inc. enters all equity and option orders through the order entry system of our primary custodian and clearing firm, National Financial Services (“NFS”), Member SIPC, a registered broker dealer and non-bank affiliate of Fidelity. With the exception of our clearing broker/introducing broker relationship with NFS, we have no material relationships with any of the venues referenced in the NFS reports. We do not receive any compensation or payment for order flow. The 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. If you would like to obtain further information regarding the primary market centers selected by NFS to handle orders, you may access NFS’s quarterly “Order Routing Report” by accessing this web link Public Disclosure – SEC Rule 606 Reports.

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Type

SEC Rule 606 Quarterly Report - 1st Quarter, 2020

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SEC Rule 606 Quarterly Report - 1st Quarter, 2020

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SEC Rule 606 Quarterly Report - 2nd Quarter, 2020

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SEC Rule 606 Quarterly Report - 2nd Quarter, 2020

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SEC Rule 606 Quarterly Report - 3rd Quarter, 2020

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SEC Rule 606 Quarterly Report - 3rd Quarter, 2020

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SEC Rule 606 Quarterly Report - 4th Quarter, 2020

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SEC Rule 606 Quarterly Report - 4th Quarter, 2020

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SEC Rule 606 Quarterly Report - 1st Quarter, 2021

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SEC Rule 606 Quarterly Report - 1st Quarter, 2021

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SEC Rule 606 Quarterly Report - 2nd Quarter, 2021

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SEC Rule 606 Quarterly Report - 2nd Quarter, 2021

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SEC Rule 606 Quarterly Report - 3rd Quarter, 2021

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SEC Rule 606 Quarterly Report - 3rd Quarter, 2021

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SEC Rule 606 Quarterly Report - 4th Quarter, 2021

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SEC Rule 606 Quarterly Report - 4th Quarter, 2021

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SEC Rule 606 Quarterly Report - 1st Quarter, 2022

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SEC Rule 606 Quarterly Report - 1st Quarter, 2022

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SEC Rule 606 Quarterly Report - 2nd Quarter, 2022

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SEC Rule 606 Quarterly Report - 2nd Quarter, 2022

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SEC Rule 606 Quarterly Report - 3rd Quarter, 2022

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SEC Rule 606 Quarterly Report - 3rd Quarter, 2022

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SEC Rule 606 Quarterly Report - 4th Quarter, 2022

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SEC Rule 606 Quarterly Report - 4th Quarter, 2022

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SEC Rule 606 Quarterly Report - 1st Quarter, 2023

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SEC Rule 606 Quarterly Report - 1st Quarter, 2023

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SEC Rule 606 Quarterly Report - 2nd Quarter, 2023

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SEC Rule 606 Quarterly Report - 2nd Quarter, 2023

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SEC Rule 606 Quarterly Report - 3rd Quarter, 2023

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SEC Rule 606 Quarterly Report - 3rd Quarter, 2023

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SEC Rule 606 Quarterly Report - 4th Quarter, 2023

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SEC Rule 606 Quarterly Report - 4th Quarter, 2023

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Flagstar Advisors, Inc., Member FINRA/SIPC, is a registered broker-dealer, registered investment adviser, and licensed insurance agency. Flagstar Advisors is a wholly owned non-bank subsidiary of Flagstar Bank, N.A. Flagstar Bank, N.A. is not registered as a broker dealer or investment adviser. Securities and Insurance products offered through Flagstar Advisors are:

Not Insured by FDIC or Any Other Government Agency Not Bank Guaranteed Not Bank Deposits or Obligations May Lose Value


Neither Flagstar Advisors nor its employees or agents provide tax or legal advice. You must consult your tax and legal advisors regarding your personal circumstances. No information contained herein should be considered a recommendation or solicitation to invest in a particular security or type of security.

The material provided is for information purposes only and should not be considered an offer to buy or sell, a solicitation of an offer to buy or a recommendation for any specific securities or products. Before investing in any product or services, consider the investment objectives, risks, charges, and expenses. For fund purchases, a prospectus is available containing this information. Read it carefully prior to making any investment decisions and retain it for your future reference.

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