SEC

Disclosures

Andrew Garrett, Inc. has provided information pursuant to a U.S. Securities and Exchange Commission rule 606 that requires firms to make publicly available, quarterly reports on the firm's order routing practices. The report, provided through our clearing partner RBC Correspondent Services, contains information on the routing of "non-directed orders," which are generally defined as any order for which the originating client has not detailed a specific trade destination. For these non-directed orders, Andrew Garrett Inc. has selected the execution venue on behalf of its clients.

The report is divided into four sections: one for securities listed on the New York Stock Exchange, one for securities listed on The Nasdaq Stock Market, one for securities listed on the various regional exchanges (e.g. American Stock Exchange, Chicago Stock Exchange, etc.) and one for exchange-listed options.

For each section, the report identifies those venues most often selected, decomposes the percentage of various types of orders routed to each of the selected venues, and discusses the material aspects of clearing partner's relationship with these venues.

Andrew Garrett, Inc- (ANDG)-clears through RBC Correspondent Services. Andrew Garrett, Inc directs most of its orders through RBC Correspondent Services. To view RBC Rule 606 disclosure reports , please utilize the following link:


S3 Matching Technologies

On occasion Andrew Garrett, Inc will route client orders to additional Market centers, to view Andrew Garrett's Rule 606 disclosure reports please utilize the following link:


Best Execution & Surveillance Solutions, LLC

52 Vanderbilt Avenue, Suite 510

New York, NY 10017

Tel. 212-682-8833

Fax. 212-584-9339

© 2018 Andrew Garrett, Inc.        Member FINRA, MSRB, & SIPC