Freedom Investments, Inc.
375 Raritan Center Parkway
Edison, NJ 08837
(800) 944-4033


SEC Rule 606 Report (1st Quarter 2017)
 
Freedom Investments, Inc., a wholly owned subsidiary of Oppenheimer & Co. Inc. ("Oppenheimer"), has prepared this report pursuant to a U.S. Securities and Exchange Commission rule 606 requiring all brokerage firms to make publicly available quarterly reports to their order routing practices. This 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, Freedom has selected the execution venue on behalf of its customers.

For each section, this report identifies the venues most often selected by Freedom, sets forth the percentages of various types of orders routed to the venues, and discusses the material aspects of Freedom’s relationship with the venues.
 
I. Securities Listed on the New York Stock Exchange:
NYSE
Non-directed
Market
Limit
Other
Total Orders 100.00%
78.06%
21.94%
0.00%
Oppenheimer & Co. Inc. 100.00% 100.00% 100.00% 100.00%
 
 
II. Securities Listed on the American Stock Exchange:
AMEX
Non-directed
Market
Limit
Other
Total Orders 100.00%
80.00%
20.00%
0.00%
Oppenheimer & Co. Inc. 100.00% 100.00% 100.00% 0.00%
 
 
III. Securities Listed on the Nasdaq Stock Market:
NASDAQ
Non-directed
Market
Limit
Other
Total Orders 100.00%
83.05%
13.56%
3.39%
Oppenheimer & Co. Inc. 100.00% 100.00% 100.00% 100.00%
 
 
IV. Exchange-Listed Options:
OPTION
Non-directed
Market
Limit
Other
Total Orders 100.00% 0.00% 0.00% 0.00%
 
Freedom Investments, Inc. forwards orders for options to Oppenheimer, who may in turn route the orders to the applicable option exchange. Freedom does not receive payment from Oppenheimer for executing option orders.