Trade Reporting & Order Routing

Pacific West Securities, Inc. provides the following web addresses to help clients obtain information on order routing practices through our two securities clearing relationships.  This information complies with SEC Rule 606 (formerly SEC Rule 11Ac1-6), which requires broker-dealers to make public quarterly reports containing certain information on their order routing practices.

These web addresses provide information on the routing of “non-directed orders,” generally defined as any order not specifically instructed by the client to be routed to a particular venue for execution.

Please select the clearing firm that holds your account. Once you select the company below, you will leave www.pwfinancial.com.

Pershing LLC
When prompted for the Broker/Dealer’s Full Name, enter “Pacific West Securities Inc”

National Financial Services

Current Report: SEC Rule 606 Quarterly Order Routing Information - 4th Quarter 2009

Please note: Pacific West Securities, Inc. provides these links for your convenience. We do not endorse them, nor are we responsible for the content, links, privacy policy, or security policy of these websites.